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Konstantinos Tzanakakis

The Railway Track and

Its Long Term Behaviour
A Handbook for a Railway Track
of High Quality

ABC
Author
Konstantinos Tzanakakis
Athens
Greece

ISSN 2194-8119 e-ISSN 2194-8127

ISBN 978-3-642-36050-3 e-ISBN 978-3-642-36051-0
DOI 10.1007/978-3-642-36051-0
Springer Heidelberg New York Dordrecht London
Library of Congress Control Number: 2012955945

c Springer-Verlag Berlin Heidelberg 2013

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It appears incontrovertible that understanding failure plays a key role in
error-free design of all kinds, and that indeed all successful design is the
proper and complete anticipation of what can go wrong.
Henry Petroski
Design Paradigms
Case Histories of Error and Judgment in Engineering

Quality is never an accident; it is always the result of high intention,

sincere effort, intelligent direction and skilful execution; it represents the
wise choice of many alternatives
William A. Foster

You have to learn the rules of the game. And then you have to play better
than anyone else
Albert Einstein
Foreword

Trains have to run on time, and a basic condition is that the quality of the track
and other infrastructure objects is sufficient. Most of the physical systems and
their components degrade/fail over time. This affects the performance of the
system and can lead to system failures. Failure during operation can be costly, e.g.
loss of service, property and even life.
The track engineer when he constructs, renews or maintains a track is of course
aiming to deliver a track of high quality: but how does the quality affect the track
costs and the service life of the track?
There is a lack of understanding of the relationship between track design,
construction, usage and maintenance costs. Therefore it is of greatest importance
to create common and better understanding of these relations.
Albert Einstein said you have to learn the rules of the game. And then you
have to play better than anyone else. The book aims to provide the necessary
functional knowledge of the track behaviour, covering the function of the various
track components, their interaction as elements of the track system, and the
interaction of the systems track and railway vehicles. When we understand how
the whole system functions (railway vehicles running on a track), taking into
account its imperfections and showing how they influence the quality and
performance of the system, then we learn the rules of the game, and we can play
better in order to improve the efficiency of the Infrastructure Manager (IM), to
improve the quality of the track for an optimum long term behaviour, using the
available tools (i.e. RAMS, LCC) and choosing the best maintenance strategies
(incl. any appropriate outsourcing strategies).
The aim of the IM is to design, construct and maintain an expensive asset, as it
is the railway track, in a cost effective way, to assure its high performance during
its service life. The only way to achieve this target is included in the word
Quality. If the Infrastructure Manager can achieve to get a new track of high
quality, to maintain it with the optimum maintenance strategies, he will be able to
manage a track with low costs and a high efficiency.
The IM has to act in an external environment, including the stakeholders,
mainly the government and the society, which set increasing demands on the IM
by providing at the same time less funding, as often foreseen in multiannual
contracts between the State and the IM. The splitting of the traditional (integrated)
railways in management of the infrastructure (responsibility of the IM) and
operation (responsibility of the Railway Undertakings or Operators) introduced a
new player, the Railway Undertakings, who also set -through the contractual
agreements with the IM- high demands on track efficiency.
Hence, the IM is under considerable pressure to act in a high demanding
external environment, with a much lower budget than in the past. The tools for the
VIII Foreword

IM to manage a qualitative, efficient track with good long term behaviour are also
being here presented here.
The book is structured in five parts (A, B, C, D, E) and 10 sections, as
presented below. Confucius said study the past if you would define the future.
So, it starts with the Past (railway history), then the external environment for the
IM is given describing the context in which the IM is acting, followed by the
functional knowledge to understand how and why does the track system works as
it works, tools and methods aiming at high performance, and finally it ends with
the Future (the future challenges for the IM), consistent with the quote of
Confucius. The following figure gives a respective overview.

A History of Railways a Quick

The Past Section I
View

B The external The external environment of the

environment of Section II
IM
the IM

C Section III The Railway Track as a Systrem

Functional
knowledge of the Section IV The Track Degradation
railway track
system Section V Track Quality

Design -Construction
Section VI maintenance aiming at high
D Performance
Tools and Tools for Rational Maintenance
methods to an Section VII
(RAMS and LCC)
effective, high
performance Section VIII Outsourcing Track Maintenance
railway track
Cost Effectiveness of the
Section IX
Railway Track

Future Challenges for the

E The Future Section
Infrastructure Manager

Athens, December 2012 Konstantinos Tzanakakis

Overview

Part A: The Past

Section I History of Railways A Quick View

This section gives a quick view of railway history: The
history of Railways dates back nearly 500 years, and includes
systems with man or horse power and rails of wood or stone.
Modern rail transport systems first appeared in England in the
1820s. These systems, which made use of the steam
locomotive, were the first practical forms of mechanized land
transport, and they remained the primary form of mechanized
land transport for the next 100 years.

Part B: The external environment of the IM

Section II The External Environment of the Infrastructure

Manager (IM)
The Infrastructure Manager has to act in an increasingly
challenging external environment. There are various
stakeholders who have interests in the activities of the railway
Infrastructure Manager. The available government budgets
are decreasing, and at the same time there are increased needs
for higher infrastructure capacity utilisation. An efficient way
of managing the rail infrastructure is required.

Part C: Functional Knowledge of the Railway Track System

Section III The Railway Track as a System

In this section the knowledge about the how and why of
the track behaviour is provided, as a base knowledge for
highlighting the importance of track quality.
X Overview

Section IV The Track Degradation

In this section the track deterioration mechanisms are
discussed, which lead to a degradation of the track, and also
the factors influencing the durability of the track geometry.
Recommendations and good practices for preventing the track
degradation are also given.

Section V Track Quality

Quality should be the final goal for the Infrastructure
Manager. In this Section we examine the importance of good
quality and how quality affects the long term behaviour of the
railway track.

Section VI Design -Construction Maintenance Aiming at High

Performance
A high performance railway track has to be designed
and constructed properly. Consequently, when trains are
running on the track (operational phase), the track has to
be monitored and maintained. What are the possible
maintenance strategies? Which strategy does best fits
the needs and the culture of the various Infrastructure
managers?

Part D: Tools and Methods for an Effective, High Performance

Railway Track

Section VII Tools for Rational Maintenance (RAMS and LCC)

In this section tools for the optimization of the track
construction regarding technical and economic requirements
are presented. LCC and RAMS technology are two
acknowledged methods for assisting the optimization process
regarding those requirements.

Section VIII Outsourcing Track Maintenance

Outsourcing of maintenance services is not a definite path to
maintenance excellence. Through outsourcing it could be
possible to cut cost and make the maintenance more effective.
In this section, advantages and disadvantages of outsourcing,
factors influencing decision making, types and characteristics
of outsourcing contracts, and cases of applied outsourcing are
topics discussed among others.
Overview XI

Section IX Cost Effectiveness of the Railway Track

The infrastructure as the main production factor in the railway
systems value chain accounts for a significant part of the full
system costs. Therefore it is very important for Infrastructure
Managers to have a good control of infrastructure
management in general and of costs in particular to improve
competitiveness.

Aspects that are discussed in this section include

guiding principles for an effective railway track,
methods to measure track performance, benchmarking
as a practical tool for improving performance by
learning from best practices and understanding the
procedures by which they are achieved. Furthermore, a
method for estimating costs related to maintenance and
renewal of the track are also addressed.

Part E: The Future

Section X Future Challenges for the IM

Today more trains are running on the track than in the past
and the competition with other means of transportation is
becoming greater. At the same time there is also a tendency
towards decreased time and funds for maintenance. The
characteristics of the future railway as a system will be
discussed in this section.
Contents

Foreword ............................................................................................................ VII

Overview .............................................................................................................. IX

List of Figures ................................................................................................. XXV

List of Tables ..................................................................................................XXXI

Part A: The Past

Section I: History of Railways A Quick View................................................... 3

1 Earliest Traces .................................................................................................. 5
2 Early Wagonways ............................................................................................. 9
3 Horse-Drawn Railway .................................................................................... 11
4 Steam Power Introduced ................................................................................ 13
5 Diesel and Electric Engines ............................................................................ 17
5.1 Electric Railways Revolutionize Urban Transport ................................... 17
5.2 Diesel Power ............................................................................................. 17
6 High-Speed Railway ....................................................................................... 19

7 History of the Track Gauge ........................................................................... 21

Part B: The External Environment of the Infrastructure Manager

Section II: The External Environment of the Infrastructure Manager .......... 25

8 The Stakeholders of the Railway System .................................................. 27

9 The Changing External Environment for the Infrastructure Manager .... 29
10 Multi-Annual Contracts ............................................................................... 31
XIV Contents

Part C: Functional Knowledge of the Railway Track System

Section III: The Railway Track as a System ..................................................... 35

11 Introduction .................................................................................................. 37
12 Forces on the Track ...................................................................................... 39
12.1 Overview .............................................................................................. 39
12.2 Quasi-Static (Dynamic Ride) Forces .................................................... 40
12.3 Dynamic Forces .................................................................................... 41
12.3.1 The Dynamic Wheel / Rail Forces ........................................... 41
12.3.2 The P1 Force ............................................................................ 41
12.3.3 The P2 Force ............................................................................ 42
12.3.4 Synopsis ................................................................................... 42
12.4 Force Limits .......................................................................................... 43
12.4.1 Vertical Force Limits ............................................................... 43
12.4.2 Lateral Force Limits................................................................. 43
12.4.3 Derailment ............................................................................... 44
12.4.4 Wheel Unloading ..................................................................... 44
12.5 Synopsis ................................................................................................ 44
12.6 The Influence of Vehicle and Track Characteristics to the Forces
on the Track .......................................................................................... 46
12.6.1 Vehicle Characteristics ............................................................ 46
12.6.2 Track Characteristics ............................................................... 46
12.7 Synopsis on the Influence of Vehicle and Track Characteristics
to the Forces on the Track..................................................................... 46
13 The Track Subsystem ................................................................................... 49
13.1 Functions of the Track .......................................................................... 49
13.1.1 Train Guidance ........................................................................ 49
13.1.2 Wheel/Rail Contact Profiles .................................................... 50
13.1.3 Carrying the Loads of the Trains ............................................. 51
13.2 The Track Components ......................................................................... 52
13.3 The Characteristics of the Track Components ...................................... 53
13.3.1 Rails ......................................................................................... 53
13.3.2 Fasteners .................................................................................. 54
13.3.3 Rail Pads .................................................................................. 55
13.3.4 Sleepers .................................................................................... 56
13.3.5 Ballast ...................................................................................... 57
13.3.6 Sub-ballast ............................................................................... 57
13.3.7 Subgrade (or Formation) .......................................................... 58
14 The Vehicle Subsystem ................................................................................. 59
14.1 Overview .............................................................................................. 59
14.2 Structure of a Typical Vehicle .............................................................. 60
14.2.1 The Car Body ........................................................................... 60
14.2.2 The Bogie................................................................................. 60
Contents XV

14.2.3 Primary Suspension ................................................................. 61

14.2.4 Secondary Suspension ............................................................. 62
14.3 The Wheel Set ...................................................................................... 62
14.4 The Wheel............................................................................................. 62
15 Modelling the Track ..................................................................................... 65
15.1 The Railway System as a Dynamic System .......................................... 65
15.2 The Mechanical Characteristics Considered in Modelling Track
Components .......................................................................................... 65
15.2.1 The Rails .................................................................................. 65
15.2.2 The Rail Fastening System ...................................................... 66
15.2.3 Sleepers .................................................................................... 68
15.2.4 Ballast and Sub-ballast............................................................. 68
15.2.5 Subgrade .................................................................................. 69
15.3 Components to Reduce the Forces ........................................................ 69
15.3.1 Models of Track Dynamic Behaviour ...................................... 70
15.3.2 Continuously Supported Models: Rail as a Beam on Elastic
Foundation (BOEF) ................................................................. 71
15.3.3 Discretely Supported Models ................................................... 74
15.3.4 Vehicle Bridge Interaction (Train Passing a Bridge) ............ 77
16 The Effect of Track Stiffness on Track Performance ................................ 79
16.1 Track Stiffness Track Modulus (An Overview) ................................. 79
16.2 The Calculation of Track Modulus ....................................................... 80
16.3 Track Stiffness and Deterioration ......................................................... 82
16.4 Track Stiffness Irregularities and Its Origin.......................................... 83
16.5 Track Stiffness and Maintenance .......................................................... 84
16.6 Smoothing Track Stiffness Irregularities .............................................. 84
16.7 Changes of Track Stiffness in Transitions on the Railway Track ......... 85
16.7.1 Forces at the Transition Zones ................................................. 85
16.7.2 Railway Track Transition Mechanics ...................................... 85
16.8 The Role of the Track Components for the Track Stiffness ................. 86
16.9 Influences on Track Stiffness ............................................................... 86
16.9.1 Direct Influences of Track Stiffness ........................................ 86
16.9.2 Long-Term Influences of Track Stiffness ................................ 87
16.10 Track Stiffness and the Influence on Noise and Vibration ................. 87
17 The Wheel-Rail Interface ............................................................................. 89
17.1 Overview .............................................................................................. 89
17.2 The Normal Contact (Hertzian Contact) ............................................... 90
17.3 Train Running on Track........................................................................ 92
17.4 Tribology .............................................................................................. 95
17.4.1 Friction..................................................................................... 96
17.4.2 Wear......................................................................................... 96
17.5 Irregularities and Impact Loads Generating Excitation
Frequencies ........................................................................................... 96
XVI Contents

17.6 Railhead Irregularities ........................................................................ 100

17.6.1 Classification of Railhead Irregularities ................................ 100
17.6.2 Consequences of Rail Corrugation ........................................ 100
17.6.3 Long Wavelength Irregularities ............................................. 101
17.7 Impact Loads ...................................................................................... 103
17.7.1 Wheel Flats ............................................................................ 103
17.7.2 Rail Joints .............................................................................. 105
17.7.3 Switches ................................................................................. 105
17.8 Reduction of the Wheel Wear ............................................................. 106
17.8.1 Wheel-Rail Contact Tribology ............................................... 107
17.8.2 Contact Mechanics ................................................................. 107
17.8.3 Use of Friction Modifiers....................................................... 107
17.8.4 Wear-Resistant Wheel Profiles .............................................. 108
17.8.5 Vehicle Design....................................................................... 108
17.8.6 Active Control of Vehicle Dynamics ..................................... 109
17.9 Maintenance of the Wheel-Rail Interface ........................................... 110
17.9.1 Introduction............................................................................ 110
17.9.2 The Importance of Friction .................................................... 110
17.9.3 Techniques to Maintain the Rail Profile ................................ 111

Section IV: The Track Degradation ................................................................. 113

18 The Mechanism of Track Faults Creation ................................................ 115

18.1 Deterioration Processes in Brief ......................................................... 115
18.2 Factors Influencing the Railways Infrastructure Deterioration ........... 116
18.3 Parameters Affecting Track Deterioration .......................................... 117
18.3.1 Driving Forces of Deterioration ............................................. 117
18.3.2 Dynamic Effects .................................................................... 118
18.3.3 Train Speeds and Axle Loads ................................................ 120
19 The Deterioration of the Track Components ........................................... 121
19.1 Introduction ........................................................................................ 121
19.2 Deterioration of Rails ......................................................................... 122
19.3 The Rail Damage Mechanism............................................................. 124
19.3.1 Crack Development Process .................................................. 124
19.3.2 Main Rail Problems from Rolling Contact Fatigue (RCF) .... 126
19.3.3 Rail Corrugations ................................................................... 128
19.4 Deterioration of Sleepers and Fastenings ........................................... 131
19.5 Ballast Degradation ............................................................................ 131
19.5.1 Overview................................................................................ 131
19.6 Subgrade Degradation ........................................................................ 134
19.6.1 Subgrade Failure Modes ........................................................ 134
19.6.2 Ballast Pockets Associated with Common Subgrade
Failure Modes ........................................................................ 135
19.6.3 Contributors to Soft Track .................................................. 136
Contents XVII

19.7 Effects of Irregularities- Inhomogenities in the Ballast Track ............ 140

19.7.1 Effects of Pollution in the Ballast Bed ................................... 141
19.7.2 The Formation of Hollows (Voids) under the Sleepers ......... 141
19.7.3 Causes for Unstable Ground (Substructure) A Summary ... 144
19.7.4 Techniques for Correcting Unstable Ground ......................... 145
20 Track Settlements ....................................................................................... 147
21 Discrete Track Defects as Cause of Track Deterioration ........................ 149

22 Track Problems, Causes, Mechanisms, Solutions .................................... 151

22.1 Important Track Problems and Their Underlying Causes................... 151
22.2 Switches and Crossings: Cracked Manganese
Diamond (Crossing)............................................................................ 153
22.3 Track: Bad Track Geometry Wrong or Unknown Stress Free
Temperature (SFT) ............................................................................. 153
22.4 Rail Welds .......................................................................................... 154
23 Track Drainage ........................................................................................... 157
23.1 Introduction ........................................................................................ 157
23.2 Surface Drainage ................................................................................ 157
23.2.1 Cess Drains ............................................................................ 158
23.2.2 Catch Drains .......................................................................... 159
23.2.3 Mitre Drains ........................................................................... 159
23.2.4 Culverts .................................................................................. 160
23.2.5 Maintenance Practices for Surface Drainage ......................... 161
23.3 Subsurface Drainage ........................................................................... 162
23.3.1 General................................................................................... 162
23.3.2 Functions of Subsurface Drains ............................................. 164
23.4 Indicators of Poor Drainage ................................................................ 165
23.5 Failure Cases....................................................................................... 166
23.5.1 Track Geometry Faults due to Poor Drainage........................ 166
23.5.2 Failure due to Poor Drainage: Infiltration and Embankment
Failure .................................................................................... 167
23.5.3 Embankment Failure Resulting from Impounded Water ....... 169
23.5.4 Erosion of Embankment Slope by Water Flowing
over the Embankment ............................................................. 171
23.6 Keep in Mind .................................................................................. 172
23.7 Bad Examples ..................................................................................... 173
24 The Track Deterioration Model ................................................................ 175

Section V: Track Quality .................................................................................. 177

25 The System Railway Infrastructure ...................................................... 179
25.1 Introduction ........................................................................................ 179
25.2 Case of Loss of the Rail Infrastructure due to Insufficient
Budgets ............................................................................................... 180
XVIII Contents

25.3 Dependence between Railway Infrastructure Capacity, Substance

and Quality ......................................................................................... 182
25.3.1 First Dependence: Capacity vs. Maintenance and Renewal... 182
25.3.2 Second Dependence: Quality vs. Substance .......................... 183
26 What Is Quality? ......................................................................................... 185
26.1 Overview ............................................................................................ 185
26.2 The Track Quality Behaviour during the Years .................................. 185
26.3 The Importance of Good Initial Quality ............................................. 186
26.4 Quality and Safety .............................................................................. 188
26.4.1 Introduction............................................................................ 188
26.4.2 Safety and Maintenance ......................................................... 189
27 Factors Affecting the Track Quality Behaviour....................................... 191
27.1 General................................................................................................ 191
27.2 The Interaction of Track Quality and Dynamic Load ......................... 192
27.2.1 Method in the American Literature ........................................ 192
27.2.2 Method in German Literature ................................................ 192
27.2.3 Method in French Literature .................................................. 192
27.2.4 Method in Greek Literature ................................................... 193
28 Assessment of Track Geometry Quality ................................................... 195
28.1 Overview ............................................................................................ 195
28.2 Standard Deviation ............................................................................. 195
28.3 Isolated Defects .................................................................................. 196
28.4 Combination of Various Parameters
(Combining Standard Deviations) ...................................................... 197
Section VI: Design Construction Maintenance Aiming at High
Performance ....................................................................................................... 199

29 Track Design ............................................................................................... 201

29.1 Some History of Design of Structural Elements ................................. 201
29.2 Allowable Stress Design ..................................................................... 201
30 The Track Construction (Aiming at High Performance) ........................ 205
30.1 The Service Life of the Track ............................................................. 205
30.2 Typical Life Cycles............................................................................. 206
31 Track Condition Monitoring ..................................................................... 209
31.1 Introduction ........................................................................................ 209
31.2 Definition of Infrastructure Monitoring .............................................. 210
31.3 The Monitoring as Part of the Maintenance Strategy ......................... 210
31.4 The PPIMS, a Top-Down Method to Optimise Monitoring ............... 211
31.4.1 Performance ........................................................................... 211
31.4.2 Process ................................................................................... 211
31.4.3 Information ............................................................................ 212
31.4.4 Monitoring ............................................................................. 212
31.4.5 Standards................................................................................ 212
Contents XIX

31.5 Examples of Monitoring Optimisation Using PPIMS ........................ 212

31.5.1 Example 1: Rolling Contact Fatigue ...................................... 212
31.5.2 Example 2: Switches and Crossings (S&C) ........................... 213
31.5.3 Example 3: Track Geometry .................................................. 214
31.6 Parameters Usually Measured for Track Condition Monitoring......... 214
31.6.1 Track Measurement ............................................................... 214
31.6.2 Ride Quality ........................................................................... 215
32 Track Maintenance..................................................................................... 217
32.1 Introduction ........................................................................................ 217
32.2 A Historical Background for Maintenance ......................................... 219
32.2.1 The Transition of a Manual-Labour-Based Economy
to Machine-Based Manufacturing .......................................... 219
32.2.2 The Industrial Revolution and the Need for Inspection
and Maintenance .................................................................... 220
32.2.3 Starting the Mass Production ................................................. 221
32.2.4 The Period 1945-1960 ........................................................... 222
32.2.5 The Period 1960 - Now .......................................................... 223
32.3 The Need to a Physical Asset Management ........................................ 223
32.4 Track Maintenance and Asset Management ....................................... 224
32.4.1 What Is Asset Management? ................................................. 224
32.4.2 The Structure of an Asset Management System .................... 227
32.4.3 The Asset Management and the Infrastructure Manager ....... 227
32.4.4 Integration with Other Management Systems ........................ 229
32.5 Definitions .......................................................................................... 230
32.5.1 Maintenance ........................................................................... 230
32.5.2 Maintenance Strategy ............................................................ 230
32.5.3 Maintenance Plan ................................................................... 230
32.5.4 Maintenance Planning Process............................................... 230
32.5.5 Upgrading .............................................................................. 231
32.5.6 Renewal ................................................................................. 231
32.6 Types of Maintenance Strategies ........................................................ 231
32.6.1 Run to Failure Maintenance (RTF) ........................................ 232
32.6.2 Preventive Maintenance (PM) ............................................... 233
32.6.3 Corrective Maintenance (CM) ............................................... 233
32.6.4 Predictive Maintenance (PDM) ............................................. 234
32.7 The Effective (Rational) Maintenance ................................................ 235
32.7.1 The Old Strategy Concept .................................................. 235
32.7.2 Evaluation of Current (Old) Maintenance Strategy ............... 235
32.8 The Future Maintenance Strategy ................................................... 236
32.9 The Limit Levels for the Track Defects .............................................. 237
32.10 The Service Life of the Track ........................................................... 238
32.11 The Different Maintenance Policies and the Impact on the
Service Life of the Track .................................................................. 239
32.11.1 Maintenance Policy of INFRASTRUCTURE
MANAGER A .................................................................... 239
XX Contents

32.11.2 Maintenance Policy of INFRASTRUCTURE

MANAGER B .................................................................... 240
32.11.3 Maintenance Policy of INFRASTRUCTURE
MANAGER C .................................................................... 241
32.11.4 Summary of Maintenance Policies of INFRASTRUCTURE
MANAGERS A, B and C .................................................. 242
32.12 Cost Savings as a Result of Effective Maintenance Policy............... 242
32.13 Track Maintenance Planning ............................................................ 243
32.13.1 Introduction ....................................................................... 243
32.13.2 Track Segmentation ........................................................... 245
32.14 Maintenance Actions ........................................................................ 247

Part D: Tools and Methods for an Effective, High Performance

Railway Track

Section VII: Tools for Rational Maintenance (RAMS and LCC) ................. 253

33 Introduction to LCC AND RAMS ............................................................ 255

33.1 The 1st Issue: Which Is the Best Way to Maintain the Track? ............ 256
33.2 The 2nd Issue: How Can It Be Ensured That over Time the Current
Maintenance Practice Is the Most Effective One? .............................. 257
34 The Rams Analysis ..................................................................................... 259
34.1 Introduction ........................................................................................ 259
34.2 Definitions .......................................................................................... 260
34.3 Key Values for System Operational States ......................................... 261
34.4 RAMS Elements ................................................................................. 262
34.4.1 Failure .................................................................................... 262
34.4.2 Reliability .............................................................................. 262
34.4.3 Availability ............................................................................ 264
34.4.4 Maintainability ....................................................................... 266
34.4.5 Safety ..................................................................................... 266
34.5 Risk ..................................................................................................... 266
34.5.1 Risk Concept .......................................................................... 266
34.5.2 Failure Categories Suitable for Use in Railway
Applications ........................................................................... 266
34.5.3 Risk Analysis ......................................................................... 267
34.5.4 Risk Evaluation and Acceptance ........................................... 269
34.6 Factors Influencing Railway RAMS ................................................... 270
34.7 The Means to Achieve Railway RAMS Requirements....................... 271
34.8 Methods and Tools for RAMS Analysis ............................................. 272
34.9 System-Effectiveness .......................................................................... 273
35 RAMS in Operation and Maintenance ..................................................... 275
36 The LCC Concept ....................................................................................... 279
36.1 Why Use LCC? ................................................................................... 280
36.2 LCC in Maintenance Optimisation ..................................................... 281
Contents XXI

36.3 Economic Calculations for LCC ......................................................... 283

36.4 LCC Process ....................................................................................... 290
37 Maintenance Planning Using LCC RAMS....................................... 293
38 Integration of RAMS and LCC in the Project Design Process ............... 297
39 A Case Study of Applications of RAMS and LCC in the Design
Process .......................................................................................................... 299
40 LCC and WLC (Whole Life Costing) ....................................................... 305
40.1 What Is Whole Life Costing? ............................................................. 305
40.2 Basic Steps in Whole Life Costing ..................................................... 306
41 Investment and Budgeting Decisions for High Track Quality ................ 307
41.1 The Structure of the Track Life Cycle Cost (LCC) ............................ 307
41.2 Strategies to Decrease the LCC .......................................................... 308
Section VIII: Outsourcing Track Maintenance .............................................. 313
42 Introduction ................................................................................................ 315
43 From Tactical to Strategic Outsourcing ................................................... 317
44 Cost and Benefit of Outsourcing ............................................................... 319
44.1 Advantages ......................................................................................... 319
44.2 Disadvantages ..................................................................................... 320
44.3 Make or Buy? Decision Making about Outsourcing Track
Maintenance........................................................................................ 321
44.3.1 Strategic Factors .................................................................... 322
44.3.2 Market Factors ....................................................................... 322
44.3.3 Service and Technology Factors ............................................ 322
44.3.4 Economic Factors .................................................................. 322
45 Measuring Contractor's Performance ...................................................... 325
45.1 Inputs .................................................................................................. 326
45.2 Outputs................................................................................................ 326
45.3 Outcomes ............................................................................................ 326
45.4 Values (or Impacts)............................................................................. 327
46 Types of Contracts and Its Characteristics .............................................. 329
46.1 Introduction ........................................................................................ 329
46.2 Contracts According to Types of Pricing Method .............................. 330
46.2.1 Fixed-Price Contracts ............................................................ 330
46.2.2 Cost-Plus (Cost-Reimbursement) Contracts .......................... 331
46.2.3 Incentive Contracts ................................................................ 331
46.3 Pricing Types and Its Characteristics .................................................. 332
46.4 Contracts According to Relationship Types between Infrastructure
Manager and Contractors .................................................................... 333
46.4.1 Traditional Relationship......................................................... 333
46.4.2 Cooperative Relationship ....................................................... 334
XXII Contents

46.4.3 Partnering Relationship.......................................................... 334

46.4.4 Alliance Relationship ............................................................. 334
46.5 Ordering types: Method-Based and Performance-Based
Contracting ......................................................................................... 335
47 What Kind of Contracting Is Suitable for Track Maintenance? ............ 337
47.1 Performance-Based Contracting (PBC) .............................................. 337
47.1.1 Motivation for Performance Based Maintenance
Contracting ............................................................................ 338
47.1.2 Issues of Performance Based Maintenance Contracting ........ 338
47.2 Contracts with Combination of Fixed-Cost-Incentive-Fee and
Cost-Plus ............................................................................................. 340
47.3 Contracts Based on Alliance Relation ................................................ 341
48 Common Risks Associated with Contracting ........................................... 343
49 Maintenance Outsourcing Scenarios......................................................... 345
50 Modelling Costs of Service Contract ......................................................... 347
51 Infrastructure Data Management in Case of Outsourcing
of M&R Activities........................................................................................ 349
52 Cases of Outsourcing Applied ................................................................... 351
52.1 Case 1: Performance Based Railway Infrastructure Maintenance
in Sweden .......................................................................................... 351
52.2 Case 2: The British Experience From Railtrack to NetworkRail ..... 352
53 Lessons Learned Advices for Outsourcing ............................................ 355

Section IX: Performance and Cost Effectiveness of the Railway Track ....... 357

54 Cost Factors of Track Construction and Maintenance ........................... 359

55 Guiding Principles for an Effective Track................................................ 361
56 Measuring the Performance ...................................................................... 363
56.1 Measurement of Performance ............................................................. 363
56.2 Performance Indicators ....................................................................... 363
56.3 The Importance of Key Performance Indicators (KPIs) .................... 364
56.4 A Case: Banverket Maintenance Performance Indicators .................. 365
57 Benchmarking ............................................................................................. 367
58 Management of Infrastructure Data ......................................................... 369
58.1 Infrastructure Data Management of a Rail Infrastructure Manager .... 369
58.1.1 System Database .................................................................... 370
58.1.2 Monitoring Database.............................................................. 371
58.1.3 Action Taken Database .......................................................... 371
58.1.4 Incidents and Accidents Database.......................................... 372
58.1.5 Resources and Costs Database ............................................... 372
Contents XXIII

59 Maintenance Cost Modeling ...................................................................... 373

59.1 Introduction ........................................................................................ 373
59.2 Maintenance Cost Modelling .............................................................. 373

Part E: The Future

Section X: Future Challenges for the Infrastructure Manager ..................... 379

60 Technological Developments and Tendencies for the Railways.............. 381

61 The Future Railway as a System ............................................................... 383

61.1 Needs and Requirements for the Railway Infrastructure
of the Future........................................................................................ 383
61.2 Filling in the Picture ........................................................................... 384
61.2.1 Optimising the TrackTrain Interface.................................... 384
61.2.2 High Reliability, High Capacity ............................................ 385
61.3 Simple, Flexible, Precise Control System........................................... 388
61.4 Optimised Use of Energy.................................................................... 389
61.5 An Integrated View of Safety and Security ........................................ 389
61.6 Improved Passenger Focus ................................................................. 391

Glossary .............................................................................................................. 393

References .......................................................................................................... 399

Index ................................................................................................................... 407

List of Figures

Fig. 1: Diolkos......................................................................................................... 5
Fig. 2: Diolkos: transport of boats across the Isthmus of Corinth in Greece ........... 6
Fig. 3: Reisszug, a funicular railway at the Hohensalzburg Castle in Austria......... 6
Fig. 4: Section of timber track from a 16th-century gold mine in Siebenbrgen.
The wagons were guided by the pronounced flange on the wooden wheels,
and the narrow gauge of 48 cm allowed the points to be altered by
swinging the single switch rail ..................................................................... 9
Fig. 5: Landscape photograph (taken during excavations) looking along the
length of the Lambton Waggon way showing sleepers, rails and points
(Image from 9 March 1996) (University of Newcastle) ............................ 10
Fig. 6: Horse-drawn railway, designed for personal transport .............................. 11
Fig. 7: Horse-drawn railway, ride from Linz to esk Budjovice, personal
transport I. and II. class, historical graphic work
(http://www.ckrumlov.info) ....................................................................... 12
Fig. 8: A replica of Trevithick's engine at the National Waterfront Museum,
Swansea ..................................................................................................... 13
Fig. 9: Salamanca, the first commercially successful steam locomotive,
built in 1812 by Matthew Murray of Holbeck ........................................... 14
Fig. 10: Puffing Billy as seen from the front (1813-1814) .................................... 15
Fig. 11: Blcher engine ......................................................................................... 15
Fig. 12: Locomotion (at Darlington Railway Centre and Museum) ...................... 16
Fig. 13: TGV 4402 (operation V150) reaching 574 km/h ..................................... 19
Fig. 14: The stakeholders and the Infrastructure manager (IM) ............................ 27
Fig. 15: The today requirements of the external environment to the
Infrastructure Manager............................................................................. 29
Fig. 16: Vertical forces after a dipped rail joint (after [59]) .................................. 41
Fig. 17: Consequences of P1 forces ...................................................................... 42
Fig. 18: Sinusoidal motion of wheel set ................................................................ 50
Fig. 19: Wheel/Rail contact profiles (left: straight line, middle: high rail
in a curve, right: low rail in a curve) .................................................... 51
Fig. 20: Pressure distribution of the wheel force Q in the individual system
components of the track ........................................................................... 52
Fig. 21: Typical ballasted track system ................................................................. 53
Fig. 22: Fastener W14 ("Skl 14") - Vossloh.......................................................... 54
Fig. 23: Fastener "Fastclip" - Pandrol ................................................................... 54
XXVI List of Figures

Fig. 24: Train composition of a locomotive, a passenger coach and

a freight wagon ........................................................................................ 59
Fig. 25: A typical passenger coach ........................................................................ 60
Fig. 26: Three piece bogie ([9])............................................................................. 60
Fig. 27: Boogie of a modern train ......................................................................... 61
Fig. 28: Typical bogie suspensions (simple bogie) ............................................... 62
Fig. 29: Wheel set ................................................................................................. 62
Fig. 30: The wheel as the contact element of the vehicle to the track ................... 63
Fig. 31: Vertical, horizontal, rotational and longitudinal forces that the
fastening system and rail seat are subjected to under rail vehicle
and thermal loading ................................................................................. 66
Fig. 32: The rail deflection due to a running train (after [12]) .............................. 70
Fig. 33: Symbols used for the constituents of the model for the railway
system ...................................................................................................... 71
Fig. 34: Beam on elastic foundation (unloaded).................................................... 72
Fig. 35: Beam on elastic foundation loaded with a point force P from
the wheel. The thick line indicates beam (rail) deflection due to
the wheel load P ....................................................................................... 72
Fig. 36: Rail as straight parallel beam supported by sleepers at equal
distances ................................................................................................... 74
Fig. 37: Pin-Pin vibration mode ............................................................................ 74
Fig. 38: Rail on discrete supports .......................................................................... 75
Fig. 39: Rail on discrete supports with rigid masses modelling the
sleepers [32] ............................................................................................. 76
Fig. 40: A train passing a bridge ........................................................................... 77
Fig. 41: Contact force between a moving mass M and a simply supported
beam [32] ................................................................................................. 77
Fig. 42: Winkler Model of Rail Deflection ([42]) ................................................. 81
Fig. 43: The deterioration process due to variation in track stiffness .................... 83
Fig. 44: Wheel-rail contact impacts ...................................................................... 89
Fig. 45: Parts of a wheel at the rail interface ......................................................... 90
Fig. 46: Gauge face - Field face of the rail ............................................................ 90
Fig. 47: The wheel - rail contact............................................................................ 91
Fig. 48: Stresses in a contact area loaded simultaneously with a normal and
a tangential force. Stresses were made visible using photo elasticity ...... 91
Fig. 49: Contact between two spheres ................................................................... 92
Fig. 50: Hertzian spring between wheel and rail ................................................... 93
Fig. 51: Wheel and track in a perfect condition .................................................... 93
Fig. 52: Track with irregularities ........................................................................... 94
Fig. 53: Track and wheel with irregularities ......................................................... 94
Fig. 54: Irregularities of track affect the wheel and wheel out-of-roundness
affects the track quality ............................................................................ 94
Fig. 55: Long wave track irregularities tends to cause body vibration,
affecting the riding comfort ..................................................................... 97
List of Figures XXVII

Fig. 56: Short wave length track irregularity tends to cause wheel vibration,
affecting axle weight fluctuation and vibration........................................ 97
Fig. 57: Wheel out-of-roundness ......................................................................... 101
Fig. 58: A railway switch at the frog area ........................................................... 102
Fig. 59: The wheel path through the frog (diamond or crossing). The wheel
leaves the wing rail at point (1) and enters the nose at point (2). ........... 102
Fig. 60: Wheel flats ............................................................................................. 104
Fig. 61: Cast manganese frog (diamond or crossing) .......................................... 106
Fig. 62: Hatfield derailment ................................................................................ 110
Fig. 63: Degradation process of railways infrastructure...................................... 115
Fig. 64: Degradation processes of railways infrastructure with a load-dependent
wearing................................................................................................... 116
Fig. 65: The track degradation chain ................................................................... 118
Fig. 66: Rocking of the vehicle about 3 axes (roll, pitch and yaw) ..................... 119
Fig. 67: Interacting parameters in the track degradation process ........................ 121
Fig. 68: Cause and effect diagram for the factors influencing rail
degradation [90] ..................................................................................... 124
Fig. 69: Broken Rails .......................................................................................... 125
Fig. 70: A vehicle passing a broken rail .............................................................. 126
Fig. 71: Explanation of rolling contact fatigue (RCF) ([24][24.3]) ..................... 126
Fig. 72: Squats ..................................................................................................... 127
Fig. 73: Head Checks .......................................................................................... 128
Fig. 74: Wayside lubrication ............................................................................... 130
Fig. 75: Locomotive flange lubrication ............................................................... 130
Fig. 76: Clean new ballast (skeletal grains)......................................................... 131
Fig. 77: Ballast after operating loads (skeletal and distance grains) ................... 132
Fig. 78: Dirty ballast ........................................................................................... 132
Fig. 79: Dirty ballast at ballast depot .................................................................. 133
Fig. 80: Unsuitable ballast in track ...................................................................... 133
Fig. 81: Vegetation in a track with unsuitable ballast ......................................... 134
Fig. 82: Subgrade deterioration factors ............................................................... 135
Fig. 83: A typical cross section of a track (without ballast pocket formation) .... 135
Fig. 84: Ballast pocket development: water trapped in depressions
under rail (after [87]) ............................................................................. 136
Fig. 85: Bearing failure (with shear displacement). Water saturated track
structure (after [87]) ............................................................................... 136
Fig. 86: Subgrade squeeze, minimal subgrade deformation (after [87]) ............. 136
Fig. 87: Soft track [86] ........................................................................................ 137
Fig. 88: Polluted ballast bed ................................................................................ 141
Fig. 89: Sleeper/ballast contact patterns: central hollow ..................................... 142
Fig. 90: Sleeper/ballast contact patterns: single hanging..................................... 142
Fig. 91: Sleeper/ballast contact patterns: double hanging ................................... 143
Fig. 92: Sleeper/ballast contact patterns: triple hanging..................................... 143
Fig. 93: Sleeper/ballast contact patterns: side-central hollows ............................ 143
XXVIII List of Figures

Fig. 94: Surface Drainage Types ......................................................................... 158

Fig. 95: Cess drain - Typical location ................................................................. 158
Fig. 96: Typical catch drains ............................................................................... 159
Fig. 97: Mitre drains ............................................................................................ 160
Fig. 98: A slope before the construction of a track ............................................. 163
Fig. 99: Groundwater elevation in fill before installing trench drain .................. 163
Fig. 100: High groundwater condition causing embankment instability.
Lowered groundwater condition resulting from trench drain
installation also depicted (after [86]) ................................................... 163
Fig. 101: Collection of water seeping into the ballast structure .......................... 164
Fig. 102: Lowering the water table ..................................................................... 164
Fig. 103: Track geometry faults due to poor drainage ........................................ 167
Fig. 104: Ponded water........................................................................................ 167
Fig. 105: Infiltration and embankment failure resulting from poor drainage
(after [85]) ............................................................................................ 168
Fig. 106: Improved Surface Drainage [85].......................................................... 169
Fig. 107: A good functioning culvert .................................................................. 169
Fig. 108: Embankment Failure Resulting from Impounded Water [86].............. 170
Fig. 109: Plugged culvert [86]............................................................................ 170
Fig. 110: Washout because of plugged culvert [86] ............................................ 171
Fig. 111: Embankment slope by water flowing over the embankment
(after [86]) ............................................................................................ 171
Fig. 112: Erosion of Embankment Slope by Water Flowing Over the
Embankment (after [86])...................................................................... 172
Fig. 113: The development of the track quality .................................................. 175
Fig. 114: System Railway infrastructure ......................................................... 179
Fig. 115: Loss of the rail infrastructure due to insufficient budgets
(after [77])............................................................................................ 180
Fig. 116: Technical interrelation between capacity and M&R ............................ 182
Fig. 117: The track behaviour of track in time .................................................... 185
Fig. 118: The importance of good initial quality -1 ............................................ 186
Fig. 119: The importance of good initial quality -2 [76] ..................................... 187
Fig. 120: A low and a high quality track ............................................................. 188
Fig. 121: The fault development and the safety .................................................. 190
Fig. 122: Factors affecting the track quality behaviour ....................................... 191
Fig. 123: Track Design Procedure (after Prause et al 1974) [9] .......................... 203
Fig. 124: Early railway track construction .......................................................... 205
Fig. 125: The service life of a track..................................................................... 206
Fig. 126: Track condition monitoring for high performance ............................... 209
Fig. 127: A top-down approach for track condition monitoring ......................... 211
Fig. 128: Variables of railway infrastructure management (see also 25.1) ......... 218
Fig. 129: Axe heads found at a 2700 BC Neolithic manufacture site in
Switzerland, arranged in the various stages of production from
left to right. .......................................................................................... 219
List of Figures XXIX

Fig. 130: Watt's steam engine at the lobby of the Higher Technical School
of Industrial Engineering of Madrid .................................................... 220
Fig. 131: Preserved British steam-powered fire engine an example of
a mobile steam engine. This is a horse-drawn vehicle: the steam
engine drives the water pump .............................................................. 220
Fig. 132: Jacquard Looms in Masson Mill .......................................................... 221
Fig. 133: The launch of Sputnik 1 marked the start of the Space Age
(on October 4, 1957) ............................................................................ 222
Fig. 134: Launch of Apollo 11 spacecraft to the moon on July 16, 1969............ 222
Fig. 135: The Piper Alpha disaster ...................................................................... 224
Fig. 136: Key principles and attributes of asset management [99]...................... 225
Fig. 137: Elements of successful implementation of asset management ............. 227
Fig. 138: Planning and implementation elements of an asset management
system [99]........................................................................................... 228
Fig. 139: Managing the balance (UIC Asset Management Working Group) ...... 229
Fig. 140: The Plan - Do - Check - Act framework .............................................. 229
Fig. 141: Breakdown of different maintenance strategy types ............................ 232
Fig. 142: Changes in maintenance philosophy .................................................... 234
Fig. 143: The transition from the "old" strategy to a "future" maintenance
strategy ................................................................................................. 237
Fig. 144: Transition procedure to a rational maintenance ................................... 237
Fig. 145: Maintenance Policy of Infrastructure Manager A ................................ 240
Fig. 146: Maintenance Policy of Infrastructure Manager B ................................ 241
Fig. 147: Maintenance Policy of Infrastructure Manager C ................................ 241
Fig. 148: Choose of the optimum time for track renewal, in order to
minimize the maintenance costs .......................................................... 243
Fig. 149: Parameters for the planning of the track maintenance ......................... 244
Fig. 150: Example of track segmentation ............................................................ 246
Fig. 151: Constituents to achieve RAMS ............................................................ 259
Fig. 152: Reliability and failure rate forecasting procedure [117] ...................... 264
Fig. 153: System Operational States (an example).............................................. 265
Fig. 154: The V representation of RAMS life cycle (after EN 50126.01) ....... 275
Fig. 155: RAMS process in the operation and maintenance phase (after [18]) ... 276
Fig. 156: System Life Cycle Phases ................................................................... 280
Fig. 157: Maintenance decisions based on LCC [18] .......................................... 281
Fig. 158: System-effectiveness analysis .............................................................. 282
Fig. 159: Cost-effectiveness analysis .................................................................. 282
Fig. 160: Process for LCC analysis in the operation and maintenance
phase (after [18]) .................................................................................. 292
Fig. 161: Maintenance planning using LCC RAMS (after [18])................... 293
Fig. 162: RAMS procedure for contracts that includes maintenance
(after [111]) .......................................................................................... 297
Fig. 163: LCC and WLC (Whole Life Costing) ................................................. 305
Fig. 164: LCC cost analysis (after [129] and after seminars of Prof. P. Veit)..... 307
XXX List of Figures

Fig. 165: Extension of service life due to speed restrictions (after [129])........... 309
Fig. 166: Decrease of the track maintenance budget (after [129]) ...................... 310
Fig. 167: Overview of the various maintenance strategies (after [129]) ............. 310
Fig. 168: Factors influencing decisions of "buy or make" .................................. 321
Fig. 169: Attributes about maintenance activities (after [120]) ........................... 326
Fig. 170: Contract types ...................................................................................... 329
Fig. 171: Types of pricing methods contracts ..................................................... 330
Fig. 172: Relationship between three major pricing methods and risks
(after [120]) .......................................................................................... 332
Fig. 173: Types of contracts according to relationship types .............................. 333
Fig. 174: Relationship Styles, Magnitudes of Risks, and Complexity
of Service [resource; ANAO, 2001]..................................................... 335
Fig. 175: Different focus between traditional contract and PBC (after [120]) .... 336
Fig. 176: Example of incentive formulas (conceptual) (after [120]) ................... 340
Fig. 177: Evolution of railway infrastructure maintenance at Swedish
Transport Administration [123] ........................................................... 352
Fig. 178: Classification of Performance Indicators [132] ................................... 364
Fig. 179: Speed records ....................................................................................... 381
Fig. 180: Developing and delivering the change (after [102]) ............................ 383
List of Tables

Table 1: Stakeholders Objectives (after [22]) ...................................................... 27

Table 2: Maintenance cost savings ....................................................................... 31
Table 3: The dynamic forces on the track ............................................................. 43
Table 4: Vertical Track Forces (Shelley and Williams 1990) (after [64]) ............ 45
Table 5: Influence of vehicle and track characteristics to forces on the track ...... 46
Table 6: The motion of the wheel set .................................................................... 50
Table 7: The gradually reduction of the pressure due to load in the system
components ............................................................................................. 52
Table 8: Reduction of the forces in the railway system ........................................ 69
Table 9: Similarities in modelling of vehicle and track ........................................ 70
Table 10: Limits of use the BOEF model ............................................................. 73
Table 11: The overall behaviour of the beam mass system when a train
is passing the bridge (after [9]) ............................................................. 78
Table 12: Typical Track Stiffness Values (after [50]) .......................................... 81
Table 13: Causes of oscillations, vibration and noise and the impact
to passengers (after [52]) ...................................................................... 98
Table 14: Classification of Railhead Irregularities ............................................. 100
Table 15: Parameters influencing track degradation ........................................... 118
Table 16: Contributors to Soft Track............................................................... 137
Table 17: Major subgrade problems causes and features (after [88]) ................. 139
Table 18: Types of defects based on their characteristics (After [10]) ............... 149
Table 19: Problems identified and shows the IMs, listed by frequency
of reports............................................................................................. 151
Table 20: The ten most important track problems and their underlying
causes.................................................................................................. 152
Table 21: Types of failures associated with each weld process .......................... 154
Table 22: Typical life cycles [11] ....................................................................... 206
Table 23: The targets of maintenance ................................................................. 217
Table 24: Basics of RAMS Analysis .................................................................. 256
Table 25: Reliability Calculations (after [114]) .................................................. 263
Table 26: Failure categories suitable for use in railway applications
(after EN 50126.1 [141]) .................................................................... 267
Table 27: Frequency of occurrence of hazardous events
(after EN 50126.1 [141]) .................................................................... 268
Table 28: Hazard Severity Level (after EN 50126.1 [141])................................ 268
Table 29: Frequency - Consequence Matrix ....................................................... 269
XXXII List of Tables

Table 30: Qualitative Risk Categories (after EN 50126.1 [141]) ....................... 269
Table 31: Typical Example of Risk Evaluation and Acceptance
(after EN 50126.1 [141]) .................................................................... 270
Table 32: Factors affecting track RAMS (after [18]).......................................... 271
Table 33: Methods and tools are used for RAMS analysis ................................. 272
Table 34: Typical problems and conflicts in most companies ............................ 280
Table 35: Calculation of cost-effectiveness of maintenance alternatives ........... 283
Table 36: Example: Cash flow of a railway project - discounted at
6% discount rate (million Euro) ......................................................... 285
Table 37: The advantages and disadvantages of economic evaluation
methods for LCC (after [110])............................................................ 288
Table 38: LCC process (after [18]) ..................................................................... 290
Table 39: Reliability analysis in track maintenance planning (after [18]) .......... 294
Table 40: Alternatives in track alignment and track construction ...................... 300
Table 41: Alternatives with performance trade-off requirements ....................... 302
Table 42: Evaluation of alternatives ................................................................... 303
Table 43: Comparison between Tactical and Strategic Outsourcing .................. 317
Table 44: The cost shapers of railway superstructure [93] ................................. 359
 Part A
The Past

Study the past if you would define the future

Confucius

What you need to know about the past is that no matter what has
happened, it has all worked together to bring you to this
very moment. And this is the moment you can choose to make
everything new. Right now.

You have to know the past to understand the present.

Dr. Carl Sagan
Section I: History of Railways A Quick View

This section gives a quick view of railway history: The history of railways dates
back nearly 500 years, and includes systems with man or horse power and rails of
wood or stone. Modern rail transport systems first appeared in England in the
1820s. These systems, which made use of the steam locomotive, were the first
practical forms of mechanized land transport, and they remained the primary form
of mechanized land transport for the next 100 years.
1 Earliest Traces

The idea of using "tracked" roads is at least 2000 years old. Ancient civilisations
realised that wheeled vehicles ran more efficiently and needed less maintenance if
they were guided using grooves cut into the stone blocks of roads. Quarries in
Ancient Greece, Malta and the Roman Empire used cut stone tracks to haul loads
pulled by animals.
Evidence of these first 'rail lines' used to guide chariots and wagons of the
Greek and Roman Empires can be seen today at ancient sites in Greece and Italy.
The earliest evidence of a wagon way, a predecessor of the railway, found so
far was the 6 to 8,5 km long Diolkos wagon way, which transported boats across
the Isthmus of Corinth in Greece since around 600 BC (Figure 1 and Figure 2).

Fig. 1 Diolkos

Wheeled vehicles pulled by men and animals ran in grooves in limestone,

which provided the track element, preventing the wagons from leaving the
intended route. The Diolkos was in use for over 650 years, until at least the 1st
century AD. The first horse-drawn wagon ways also appeared in ancient Greece,
with others to be found in Malta and various parts of the Roman Empire, using
cut-stone tracks.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 57.
DOI: 10.1007/978-3-642-36051-0_1 Springer-Verlag Berlin Heidelberg 2013
6 1 Earliest Traces

Fig. 2 Diolkos: transport of boats across the Isthmus of Corinth in Greece

Fig. 3 Reisszug, a funicular railway at the Hohensalzburg Castle in Austria

1 Earliest Traces 7

Railways began reappearing in Europe after the Dark Ages. The earliest known
record of a railway in Europe from this period is a stained-glass window in the
Minster of Freiburg im Breisgau dating from around 1350.
In 1515, Cardinal Matthus Lang wrote a description of the Reisszug, a
funicular railway at the Hohensalzburg Castle in Austria (Figure 3). It is notable
for its extreme age, as it is believed to date back to either 1495 or 1504.The line
originally used wooden rails and a hemp haulage rope, and was operated by
human or animal power, through a tread wheel. The line still exists, albeit in
updated form, and is probably the oldest railway still to operate.
2 Early Wagonways

Fig. 4 Section of timber track from a 16th-century gold mine in Siebenbrgen. The wagons
were guided by the pronounced flange on the wooden wheels, and the narrow gauge of 48
cm allowed the points to be altered by swinging the single switch rail.

Wagon ways (or 'tramways') are thought to have developed in Germany in the
1550s to facilitate the transport of ore tubs to and from mines, utilising primitive
wooden rails (Figure 4). Such an operation was illustrated in 1556 by Georgius
Agricola. These used the hund system with unflanged wheels running on
wooden planks and a vertical pin on the truck fitting into the gap between the
planks, to keep it going the right way. Such a transport system was used by
German Miners at Caldbeck, Cumbria, perhaps from the 1560s.
The first true railway is now suggested to have been a funicular railway made
at Broseley in Shropshire at some time before 1605. This carried coal for James
Clifford from his mines down to the river Severn to be loaded on to barges and
carried to riverside towns. Though the first documented record of this is later, its
construction probably preceded the Wollaton Wagon way, completed in 1604,
hitherto regarded as the earliest British installation. This ran from Strelley to
Wollaton near Nottingham. Another early wagon way is noted onwards.
Huntingdon Beaumont (who was concerned with mining at Strelley) also laid
down broad wooden rails near Newcastle upon Tyne, on which a single horse
could haul fifty or sixty bushels (130150 kg) of coal.
By the eighteenth century, such wagon ways and tramways existed in a number
of areas. Ralph Allen, for example, constructed a tramway to transport stone from
a local quarry to supply the needs of the builders of the Georgian terraces of Bath.
The Battle of Prestonpans, in the Jacobite Rebellion, was fought astride a wagon
way. This type of transport spread rapidly through the whole Tyneside coal-field,
and the greatest number of lines were to be found in the coalfield near Newcastle

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 910.
DOI: 10.1007/978-3-642-36051-0_2 Springer-Verlag Berlin Heidelberg 2013
10 2 Early Wagonways

upon Tyne, where they were known locally as wagon ways. Their function in most
cases was to facilitate the transport of coal in chaldron wagons from the coal pits
to a staithe (a wooden pier) on the river bank, whence coal could be shipped to
London by collier brigs. The wagon ways were engineered so that trains of coal
wagons could descend to the staithe by gravity, being braked by a brakeman who
would "sprag" the wheels by jamming them. Wagon ways on less steep gradients
could be retarded by allowing the wheels to bind on curves. As the work became
more wearing on the horses, a vehicle known as a dandy wagon was introduced, in
which the horse could rest on downhill stretches.

Fig. 5 Landscape photograph (taken during excavations) looking along the length of the
Lambton Waggon way showing sleepers, rails and points (Image from 9 March 1996)
(University of Newcastle)
3 Horse-Drawn Railway

In medieval times people mostly travelled on foot or horseback and any form of
transportation was mainly for moving goods.
The first railways were laid down in the seventeenth and eighteenth century for
horse drawn trains of wagons in collieries and quarries. These hauling ways
initially had a surface of stone slabs or timber baulks, which soon proved
unsatisfactory as the loads carried inevitably grew heavier.
As the Industrial Revolution progressed, the idea was developed further by
adding cast iron or wrought iron plates to reduce wear on the wooden baulks. This
evolved further to iron edge rails enabling the use of flanged wheels for the first
time.
Placing a horse car on rails had enabled a horse to move twice as many people,
and so street railways were born.

Fig. 6 Horse-drawn railway, designed for personal transport

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 1112.
DOI: 10.1007/978-3-642-36051-0_3 Springer-Verlag Berlin Heidelberg 2013
3 Horse-Drawn Railway 12

Fig. 7 Horse-drawn railway, ride from Linz to esk Budjovice, personal transport I. and
II. class, historical graphic work (http://www.ckrumlov.info)
4 Steam Power Introduced

James Watt, a Scottish inventor and mechanical engineer, was responsible for
improvements to the steam engine of Thomas Newcomen, before used to pump
water out of mines. Watt developed a reciprocating engine, capable of powering a
wheel. Although the Watt engine powered cotton mills and a variety of machinery,
it was a large stationary engine.
The first working model of a steam rail locomotive was designed and
constructed by John Fitch in the United States in 1794.
The first full scale working railway steam locomotive was built in the United
Kingdom in 1804 by Richard Trevithick, an English engineer born in Cornwall
(the story goes that it was constructed to satisfy a bet by Samuel Homfray, the
local iron master). This used high pressure steam to drive the engine by one power
stroke (the transmission system employed a large fly-wheel to even out the action
of the piston rod) (Figure 8).
On February 21, 1804 Trevithicks engine hauled 10 tons of iron and 70 men
nearly ten miles from Penydarren, South Wales at a speed of five miles-per-hour.
Trevithick later demonstrated a locomotive operating upon a piece of circular rail

Fig. 8 A replica of Trevithick's engine at the National Waterfront Museum, Swansea

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 1316.
DOI: 10.1007/978-3-642-36051-0_4 Springer-Verlag Berlin Heidelberg 2013
14 4 Steam Power Introduced

track in Bloomsbury, London, the "Catch-Me-Who-Can", but never got beyond

the experimental stage with railway locomotives, not least because his engines
were too heavy for the cast-iron plateway track then in use. Despite his inventive
talents, Richard Trevithick died in poverty, with his achievement being largely
unrecognized.
The impact of the Napoleonic Wars resulted in (amongst other things) a
dramatic rise in the price of fodder. This was the imperative that made the
locomotive an economic proposition, if it could be perfected.
The first commercially successful steam locomotive was Matthew Murray's
rack locomotive Salamanca built for the narrow gauge Middleton Railway in 1812
(Figure 9). This twin cylinder locomotive was not heavy enough to break the
edge-rails track, and solved the problem of adhesion by a cog-wheel utilising teeth
cast on the side of one of the rails. It was the first rack railway.

Fig. 9 Salamanca, the first commercially successful steam locomotive, built in 1812 by
Matthew Murray of Holbeck

This was followed in 1813 by the Puffing Billy built by Christopher Blackett
and William Hedley for the Wylam Colliery Railway, the first successful
locomotive running by adhesion only. This was accomplished by the distribution
of weight by a number of wheels. Puffing Billy is now on display in the Science
Museum in London, the oldest locomotive in existence (Figure 10).
4 Steam Power Introduced 15

Fig. 10 Puffing Billy as seen from the front (1813-1814)

Fig. 11 Blcher engine

In 1814 George Stephenson, inspired by the early locomotives of Trevithick,

Murray and Hedley, persuaded the manager of the Killingworth colliery where he
worked to allow him to build a steam-powered machine. He built the Blcher, one
of the first successful flanged-wheel adhesion locomotives (Figure 11).
16 4 Steam Power Introduced

Stephenson played a pivotal role in the development and widespread adoption

of the steam locomotive. His designs considerably improved on the work of the
earlier pioneers. In 1825 he built the Locomotion for the Stockton and Darlington
Railway, north east England, which was the first public steam railway in the world
(Figure 12). Such success led to Stephenson establishing his company as the pre-
eminent builder of steam locomotives used on railways in the United Kingdom,
United States and much of Europe.

Fig. 12 Locomotion (at Darlington Railway Centre and Museum)

5 Diesel and Electric Engines

5.1 Electric Railways Revolutionize Urban Transport

In January 1888, Richmond, Virginia served as a proving ground for electric
railways as Frank Sprague built the first working electric streetcar system there.
By the 1890s, electric power became practical and more widespread, allowing
extensive underground railways. Large cities such as London, New York, and
Paris built subway systems. When electric propulsion became practical, most
street railways were electrified. These then became known as "streetcars,"
"trolleys," "trams" and "Straenbahn." They can be found around the world.
In many countries, these electric street railways grew beyond the metropolitan
areas to connect with other urban centres. In the USA, "electric interurban"
railroad networks connected most urban areas in the states of Illinois, Indiana,
Ohio, Pennsylvania and New York. In Southern California, the Pacific Electric
Railway connected most cities in Los Angeles and Orange Counties, and the
Inland Empire. There were similar systems in Europe. One of the more notable
rail systems connected every town and city in Belgium. One of the more notable
tramway systems in Asia is the Hong Kong Tramways, which started operation in
1904 and run exclusively on double-decker trams.
The remnants of these systems still exist, and in many places they have been
modernized to become part of the urban "rapid transit" system in their respective
areas. In the past thirty years increasing numbers of cities have restored electric
rail service by building "light rail" systems to replace the tram system they
removed during the mid-20th century.

5.2 Diesel Power

Diesel-electric locomotives could be described as electric locomotives with an on-
board generator powered by a diesel engine. The first diesel locomotives were
low-powered machines, diesel-mechanical types used in switching yards. Diesel
and electric locomotives are cleaner, more efficient, and require less maintenance
than steam locomotives. They also required less specialized skills in operation.
After working through technical difficulties in the early 1900s, diesel locomotives
became mainstream after World War II. By the 1970s, diesel and electric power
had replaced steam power on most of the world's railroads.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 17.
DOI: 10.1007/978-3-642-36051-0_5 Springer-Verlag Berlin Heidelberg 2013
6 High-Speed Railway

Starting with the opening of the first Shinkansen line between Tokyo and Osaka in
1964, high-speed rail transport, functioning at speeds up and above 300 km/h, has
been built in Spain, France, Germany, Italy, the People's Republic of China,
Taiwan, the United States, the United Kingdom, South Korea, Scandinavia,
Belgium and the Netherlands. The construction of many of these lines has resulted
in the dramatic decline of short haul flights and automotive traffic between
connected cities, such as the Boston-New York City-Washington, D.C. corridor,
London-Paris-Brussels, Madrid-Barcelona, as well as many other major lines.
Additionally, with the on-going threat of global warming and energy shortages,
high-speed rail is supposed to hold the key to the future of transportation in many
of the world's developed countries.

Fig. 13. TGV 4402 (operation V150) reaching 574 km/h

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 19.
DOI: 10.1007/978-3-642-36051-0_6 Springer-Verlag Berlin Heidelberg 2013
7 History of the Track Gauge

Historically, the choice of gauge was partly arbitrary and partly a response to local
conditions. Narrow-gauge railways are cheaper to build and can negotiate sharper
curves but broad-gauge railways give greater stability and permit higher speeds.
Sometimes railway companies chose their own gauge, such as the Great
Western Railway choosing 2,140 mm (7 ft 0 14 in).

Early origins of the standard gauge

There is an urban legend that Julius Caesar specified a legal width for chariots at
the width of standard gauge, causing road ruts at that width, so all later wagons
had to have the same width or else risk having one set of wheels suddenly fall into
one deep rut but not the other.
In fact, the origins of the standard gauge considerably pre-date the Roman
Empire, and may even pre-date the invention of the wheel. The width of
prehistoric vehicles was determined by a number of interacting factors which gave
rise to a fairly standard vehicle width of a little under 2 m (6.6 ft). These factors
have changed little over the millennia, and are still reflected in today's motor
vehicles. Road rutting was common in early roads, even with stone pavements.
The initial impetus for the ruts probably came from the grooves made by sleds and
slide cars dragged over the surfaces of ancient trackways. Since early carts had no
steering and no brakes, negotiating hills and curves was dangerous, and cutting
ruts into the stone helped them negotiate the hazardous parts of the roads.
Neolithic wheeled carts found in Europe had gauges varying from 1.30 to 1.75
m (4 ft 3 in to 5 ft 9 in). By the Bronze Age, wheel gauges appeared to have
stabilized between 1.40 to 1.45 m (4 ft 7 in to 4 ft 9 in) which was attributed to a
tradition in ancient technology which was perpetuated throughout European
history. The ancient Assyrians, Babylonians, Persians and Greeks constructed
roads with artificial wheelruts cut in rock spaced the wheelspan of an ordinary
carriage. Such ancient stone rutways connected major cities with sacred sites, such
as Athens to Eleusis, Sparta to Ayklia, or Elis to Olympia. The gauge of these
stone grooves was 1.38 to 1.44 m (4 ft 6 in to 4 ft 9 in). The largest number of
preserved stone trackways, over 150, are found on Malta.
Some of these ancient stone rutways were very ambitious. Around 600 BC the
citizens of ancient Corinth constructed the Diolkos, which some consider the
world's first railway (see Chapter 1), a hard poros limestone road with grooved
tracks along which large wooden flatbed cars carrying ships and their cargo were
pulled by slaves or draft animals. The grooves were at 1.67 m (5 ft 6 in) centres.
The Roman Empire actually made less use of stone trackways than the prior
Greek civilization because the Roman roads were much better than those of
previous civilizations. However, there is evidence that the Romans used a more or

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 2122.
DOI: 10.1007/978-3-642-36051-0_7 Springer-Verlag Berlin Heidelberg 2013
7 History of the Track Gauge 22

less consistent wheel gauge adopted from the Greeks throughout Europe, and
brought it to England with the Roman conquest of Britain in AD 43. After the
Roman departure from Britain, this more-or-less standard gauge continued in use,
so the wheel gauge of animal drawn vehicles in 19th century Britain was 1.4 to 1.5
m (4 ft 7 in to 4 ft 10 in). In 1814 George Stephenson copied the gauge of British
coal wagons in his area (about 1.42 m or 4 ft 8 in) for his new locomotive, and for
technical reasons widened it slightly to achieve the modern railway standard
gauge of 1.435 m (4 ft 812 in).
 Part B
The External Environment of the
Infrastructure Manager
Section II: The External Environment of the
Infrastructure Manager

The Infrastructure Manager has to act in an increasingly challenging external

environment. There are various stakeholders who have interests in the activities of
the railway Infrastructure Manager. The available government budgets are
decreasing, and at the same time there are increased needs for higher infrastructure
capacity utilisation. An efficient way of managing the rail infrastructure is
required.
8 The Stakeholders of the Railway System

Fig. 14 The stakeholders and the Infrastructure manager (IM)

Table 1 Stakeholders Objectives (after [22])

Possible Objectives or Priorities Stakeholders

Central Government
Reduced Budget Outlays and Lower Subsidies Local Authorities
Taxpayers
Central Government
Local Authorities
Operational and Cost Efficiency Freight Users
Passengers
Private Shareholders
Central Government
Better Resource Allocation and External Local Authorities
Efficiency Taxpayers
other Transport Users
Central Government
Effective Environmental Protection
Local Authorities
External Efficiency and Optimal Modal-Mix
Environmentalists
Central Government
Local Authorities
Risk Minimization Freight Users
Passengers
Private Shareholders

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 2728.
DOI: 10.1007/978-3-642-36051-0_8 Springer-Verlag Berlin Heidelberg 2013
28 8 The Stakeholders of the Railway System

There are various stakeholders who have interests in the railway Infrastructure
Manager (IM) (Figure 14). Table 1 identifies the types of objectives for the
different stakeholders.
9 The Changing External Environment for the
Infrastructure Manager

In Europe the environment for the rail Infrastructure Managers, is changing:

new European directives (in the European Union influence zone),

decreasing government budgets,
need for higher infrastructure capacity utilisation and
increasing customer expectations.
This change requires a very efficient way of managing the rail infrastructure
maintenance activities.
The current requirements of the external environment to the Infrastructure
Manager (IM) can be briefly described as:

Reduced financing of the IM leads to

Pressure to cost reduction
The IM has to review current practices, find ways to
keep and even enhance his performance level by setting
new strategies mainly for the track maintenance.

Fig. 15 The today requirements of the external environment to the Infrastructure Manager

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 2930.
DOI: 10.1007/978-3-642-36051-0_9 Springer-Verlag Berlin Heidelberg 2013
9 The Changing External Environment for the Infrastructure Manager 30

The rail Infrastructure Manager (IM), just like any manager, has to efficiently
make use of the means made available to him. The IM however, has to deal with a
complex situation in terms of high and difficult to control cost structures, and the
often highly unstable funds to be collected from both public and private actors. It
is necessary to find the optimal balance between reducing these costs on the one
hand and on the other to avoid breakdowns that may harm performance and safety.
The challenge is to manage cost and revenue as a business and at the same time to
take into account public service considerations.
So, the Infrastructure Manager faces the following challenges, to be fulfilled all
at the same time:
Ensure the safe operation of the railway infrastructure
Decrease his costs for the maintenance of the railway infrastructure and
the traffic management
Increase the efficiency of the railway infrastructure.
The Infrastructure Manager has to optimize his way of operation. The only way to
achieve this target for the maintenance of railway infrastructure is included in the
word Quality. If the Infrastructure Manager can achieve to get a new track of
high quality, to maintain it with the optimum maintenance strategies, he will be
able to manage a track with low costs and a high efficiency.
10 Multi-Annual Contracts

Multi-annual contracts represent a long-term financing arrangement between the

State and the rail Infrastructure Manager for infrastructure maintenance. Multi-
annual contracts should force both parties to take a long-term view and develop
maintenance plans on the basis of the infrastructure manager's business plan and
thus on future service demand.
The table below sets out maintenance cost reduction potentials as quantified by
Infrastructure Managers and transport ministries in 20071:

Table 2 Maintenance cost savings2

Multi-annual contract will reduce maintenance cost Expected cost

because of reduction
more efficient use of resources 2 5%
increased efficiency in outsourcing maintenance 5-10 %
more advanced personnel reduction policies 0,1- 3 %

Under the pressure of 'use it or lose it', maintenance activities tend to peak
towards the end of the year. The logic of public budgeting is such that budgets
tend to be cut if they are not fully used in previous years. Massive maintenance
works at this time also cause more delays and disrupt the service. Abandoning
yearly planning in favour of multi-annual schemes thus reduces overall disruption
as maintenance works can be planned such that traffic is disrupted as little as
possible.
Multi-annual contracts are recommended to improve the quality and
maintenance of infrastructures in this sector. Current European Union (EU)
legislation requires defining measures to reduce the costs of infrastructure
provision and of charges for their use, taking into account safety and maintenance
of the quality of the infrastructure service.
The availability and the quality of the infrastructure have a strong impact on the
competitiveness of the rail sector. However, maintenance of infrastructure does
not always gain the finance that railway operators expect to enable them to
compete with other modes of transport. Almost one third of managers state that
the finance available to them is not sufficient to maintain their network.
If properly negotiated and prepared, a multi-annual contract can bring many
advantages. More particularly, its role is to:

1
Communication from the Commission to the Council and the European Parliament -
Multi-annual contracts for rail infrastructure quality -COM/2008/0054 final.
2
Source: EU rail infrastructure managers, PriceWaterhouseCoopers 2007.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 3132.
DOI: 10.1007/978-3-642-36051-0_10 Springer-Verlag Berlin Heidelberg 2013
32 10 Multi-Annual Contracts

Provide a long-term financing framework for maintenance forcing

both parties to take a long-term view and develop maintenance programs
on the basis of future service demand. In fact, it is important that the rail
infrastructure corresponds with future transport demand structures in
order to boost traffic and revenues. These contracts also permit trade-offs
between taxpayers' and users' interests, between maintenance and quality
of the network, and between short-term maintenance and renewal;
Complement the charging system by transfers made within the
framework of these contracts so as to ensure financial stability. A multi-
annual contract has to be consistent with the charging framework, which
has to comply with the existing charging rules;
Enable effective cost control by long-term planning of rail maintenance
to reduce unit costs. This procedure enables the volume of work to be
adapted without changing plans at the last minute. With a multi-annual
allocation, the manager can actually make use of funds in a more flexible
manner which is thus better suited to business needs, rather than
according to the rigid rules of public spending;
Enable benchmarking and regulatory supervision by setting
performance targets more effectively. In fact, setting more precise
performance targets makes it easier to gauge the relative positions of
Infrastructure Managers and to define cost effectiveness in terms of a
national infrastructure manager's cost elements and their performance in
comparison with other managers;
Improve performance based on performance-related payments and not
on compensating the Infrastructure Manager for a particular expenditure
as well as reinforcing quality control. Quality criteria can be divided
into two categories: Indicators based on the quality of the train service
(i.e. speed, safety) and indicators based on infrastructure provision (i.e.
maintenance costs per km of track, percentage of lines under temporary
speed restrictions);
Secure the effectiveness of contractual agreements providing for
example, sanctions applicable in cases of non-compliance. The monitoring
process should be undertaken by an independent body rather than by the
two contracting parties. Sanctions may consist of penalties (fines),
reduced financial input or even a replacement of Infrastructure Managers
and need to be progressive and in proportion with the infringement.
EU Member States and their Infrastructure Managers should conclude multi-
annual contracts which comply with the national strategic transport plan and with
the Infrastructure Managers' business plans. The State should consult stakeholders
on any proposal for multi-annual contracts before entering into a new contract or
renegotiating existing provisions.
Infrastructure Managers should check track condition and should indicate cases
where infrastructure quality is considered to be substandard.
 Part C
Functional Knowledge of the
Railway Track System

Knowledge is power
Francis Bacon
Section III: The Railway Track as a System

An important aspect of a parts performance is how it interacts with

other parts to affect the performance of the whole.
Russell Ackof

In this Section the knowledge about the how and why of the track behaviour
is provided, as a base knowledge for highlighting the importance of track quality.
11 Introduction

A system can be defined as a complex of elements standing in interaction.

Systems thinking involves inter alias shifting attention
from the parts to the whole,
from objects to relationships,
from structures to processes
When we use systems thinking, we are actively asking ourselves Why is this
working as it does?
The railway system is a very complex system: it is often a mixture of
components of different age and status that have to work together in a system. The
railway track has to guide the trains in a safe and economic manner. The track and
the switches should allow smooth passage of the trains [24][24.1].
If the track is not perfectly levelled and aligned, the irregularities will cause
oscillations or vibrations of the train, and this may bring discomfort for passengers
and damage for goods.
Long wavelength irregularities of the track will give rise to low-frequency
oscillations of the train. Short wavelength irregularities cause vibrations and noise,
both in the train and in the environment.
Oscillations, vibrations, and noise may become unpleasant for the train
passengers and for people close to the railway line.

For the track engineer it is important to know how the track functions, but
also why it functions in a specific manner, in order to be able to predict the
effect of changes (typical cases of changes are ex. running with higher speeds,
increasing the density of traffic, change of rail type profile, hardness- etc.).

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 37.
DOI: 10.1007/978-3-642-36051-0_11 Springer-Verlag Berlin Heidelberg 2013
12 Forces on the Track

Key terms:
Forces, quasi-static forces, dynamic forces, P1 force, P2 force, impact
forces

12.1 Overview
Both vehicle and track have irregularities
track geometry irregularities (long wavelength) or
discrete irregularities (short wavelength) in the wheel tread or rail
running surface.
These two classifications of track irregularities (long/short wavelength) produce
different magnitudes of forces due to the resonances they create within the track
structure.
In order to understand the damage mechanism of the track and the deterioration
of the track geometry, it is necessary to recognize all the forces to the railway
track from a train running above it and the responses made to these forces.
It is also important to fully understand the causes of these induced forces in
order to be able to remove them from the track and therefore extend the life of the
track asset.
The forces acting on the track result from the train loads (there are also thermal
loads, which isnt the subject of this chapter).

Loads from Forces

running train on the track

Those loads can be categorised into three main groups:

Vertical loads
Lateral loads (transverse to the track), and
Longitudinal loads (parallel to the track).

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 3947.
DOI: 10.1007/978-3-642-36051-0_12 Springer-Verlag Berlin Heidelberg 2013
40 12 Forces on the Track

Depending on their nature, those loads can be divided into three groups:
static loads (normally caused by the vehicle body mass)
Quasi-static loads (or dynamic ride loads), which are associated with
vehicle movements: Vehicles running on the track apply certain forces on
the track structure due to the behaviour of the vehicle body, bogie and
other masses in reaction to geometrical irregularities in the track. These
are low frequency forces (see par. 12.2) and
Dynamic (dynamic wheel/rail) loads, which are associated with
significant irregularities that may occur during the life of the track
structure and vehicle [61] (see par. 12.3):
o Irregularities of the track geometry
o Discontinuities on the running surface (switches, joints)
o Wear of the running surface of the rails
o Wear of the wheels (out-of-round wheels)
o Vehicle suspension and vehicle asymmetries
Dynamic wheel/rail forces are much higher in magnitude than quasi-
static (dynamic ride) forces.
In this chapter well concentrate on quasi-static and dynamic forces.

12.2 Quasi-static (Dynamic Ride) Forces

The quasi-static load can be defined as the sum of the static load and the effect of
the static load at speed3 and they are classified in the frequency range between 0,5
and 30 Hz [9].

static load
Quasi -static
forces
effect of the
static load at
speed
The load includes the effects of
the geometrical roughness of the track on vehicle response and
unbalanced superelevation (the effect of the train load not being
distributed evenly over both rails).

3
See the Australian Standard for pre-stressed concrete sleepers (AS1085.14, 2003).
12.3 Dynamic Forces 41

If both the wheel tread and rail surface are in good condition, the wheel/rail
contact force would be similar to the static wheel load.
The quasi-static force has been found to be typically between 1,4 and 1,6 times
the static wheel load before unbalanced superelevation effects are included4.
Forces greater than 1,6 times the static wheel load are found to be the result of
more significant wheel/rail contact conditions.

12.3 Dynamic Forces

12.3.1 The Dynamic Wheel / Rail Forces

Dynamic forces come in two categories:

P1 Forces
P2 forces
In the following paragraphs a more analytical presentation of the P1, P2 forces is
given [60].

Fig. 16 Vertical forces after a dipped rail joint (after [59])

12.3.2 The P1 Force

P1 forces are classified in frequency range between 100 Hz and 2000 Hz. These
forces are also called impact forces. They correspond to surface irregularities or
defects in rails and wheels and produce strong impact to rail and wheel (Figure 17).
P1 is a very high frequency force occurring - ms after crossing the angular
discontinuity that occurs at the bottom of the dip and has a very short duration

4
As above.
42 12 Forces on the Track

(Figure 16). At that point the rail and sleepers due to their inertia resist the
downward motion of the wheel and the contact zone between wheel and rail is
compressed.
The P1 force is responsible for rail hammering just after the joint gap and
produces high stresses in the rail web. It contributes to bolt hole failures in bolted
joints by increasing the stress range. These forces contribute to the cracking of
concrete sleepers5. Its effects are largely filtered out by the rail and sleepers, and
do not directly affect ballast or subgrade settlement [9]. However, they have a
great influence on wheel/rail contact behaviour.

Fig. 17 Consequences of P1 forces

12.3.3 The P2 Force

P2 forces are classified in the frequency range between 30 Hz and 100 Hz (lower
frequency range). They correspond to the movement of unsprung masses of the
vehicles (see par.14.2.2).
The P2 forces have a lower-amplitude and longer-duration than the P1 forces.
The peak force occurs in the area of the first running-off sleeper after the joint.
The wheel set mass and the rail/sleeper mass move down together and compress
the ballast beneath the sleeper. P2 forces therefore increase contact stresses,
contribute to the total stress range experienced by the rail web and at joint bolt
holes and also increase the loads on sleepers and ballast in the immediate
neighbourhood of the joint. For this reason P2 forces are of great interest to the
track design engineer.
The P2 forces contribute primarily to the degradation of track geometry. As
shown in Figure 16, the P1 impact forces could be as high as 3,5 times the static
load imposed by the wheel on the rail, and the P2 impact forces could be as high
as 2,5 the static load.

12.3.4 Synopsis
The following table gives a better overview of the above described forces on the
track:

5
Experienced by Amtrak in the late 1970s and early 1980s [59].
12.4 Force Limits 43

Table 3 The dynamic forces on the track

Force Cause Mechanism Impact Frequency

area
gross mass of
vehicle,
movement of
Quasi-static sprung mass of
0,5 - 30 Hz
forces the vehicle,
centrifugal force
in curves,
cross winds
At the bottom of the
dip, the rail and
strong impact
sleepers resist the
P1 Forces surface to rail and
downward motion
(also called irregularities or wheel 100 - 2000
of the wheel and the
impact defects in rails and
contact zone relevant to Hz
forces) wheels track
between wheel and
rail is compressed. deterioration

The wheel set mass

and the rail/sleeper
relevant to
unsprung masses of mass move down
P2 forces track 30 - 100 Hz
the vehicles together and
deterioration
compress the ballast
beneath the sleeper.

12.4 Force Limits

Railway organizations around the world have set limits on the various forces at
the wheel / rail contact area [59].

12.4.1 Vertical Force Limits

In the vertical direction high forces can cause damage to the rails and supporting
structures and can cause rolling contact fatigue when combined with high
tangential forces such as occur during traction, braking or curving.
UIC Leaflet 518 ([70]) sets a maximum static load of 112,5 kN per wheel and
a maximum dynamic vertical force per wheel of between 160 kN and 200 kN,
depending on maximum speed (provided this values does not exceed the static
wheel load plus 90 kN). In small radius curves (less than 600 m) UIC Leaflet 518
sets a limit of 145 kN for the quasi-static vertical force.

12.4.2 Lateral Force Limits

In the lateral direction high forces can cause distortion of the track on ballast-bed.
This is normally protected against by using the simple but widely established
44 12 Forces on the Track

PrudHomme limit for the track shifting force at one wheel set, which can be
calculated from the static load (Po force):

10 for passenger trains

0,85 10 for freight trains

where Y and P0 are in kN.

Lateral forces of very short duration are less likely to shift the track and
therefore only forces that act for more than 2 m of track length are usually
counted. In small radius curves (less than 600 m) UIC Leaflet 518 sets a limit of
60 kN for the quasi-static lateral force.

12.4.3 Derailment
Possibility of wheel climb derailment is indicated by the ratio of the lateral force
Y to vertical force V as mentioned earlier. The theory of Nadal is used to
establish limits for the /V derailment ratio with 0,8 as the limiting value in UIC
Leaflet 518.

0,8 or 80%

12.4.4 Wheel Unloading

Very low vertical forces at the contact patch can indicate that a vehicle is tending
to derailment by rolling over or by failing to follow twists in the track. In the
United Kingdom a lower limit of 60% of the static wheel load (i.e., unloading by
over 40%) is set [59].

12.5 Synopsis
The following table gives a synopsis of the vertical forces, their impact on the
track, the diagnosis of the impacts and remedy measures.
 Table 4 Vertical Track Forces (Shelley and Williams 1990) (after [64])
CAUSE
Impact at Rail Welds
Vehicle/Track Interaction
Dynamic Forces
Wheel irregularities
Static load
FORCE SYMPTOM
Rail fatigue failure
Corrugations
Rail: P1 + P2 Pad degradation
Sleeper cracking/movement
Ballast degradation
Weld fatigue
Track geometry deterioration
Quasi Static Rail failure/fatigue
Ballast failure/degradation
Subgrade failure/degradation
Sleeper cracking
Wheel: P1 + P2 Rail breaks Wheel cracks
Ballast deterioration
Po All of the above
DIAGNOSIS REMEDY
12.5 Synopsis
Weld straightening
Ultrasonic inspections Rail grinding
Manual inspections Lower unsprung mass
Lighter axle loads
Tamping
Track recording car Mud hole rectification
Ballast cleaning
Ultrasonic inspections
Ballast regulating
Manual inspections
Formation/ballast design
Wheel turning program
Wheel impact detector More frequent inspections
Weighbridge Lighter axle loads
No over loading
Manual checking
45
46 12 Forces on the Track

12.6 The Influence of Vehicle and Track Characteristics to the

Forces on the Track
The magnitude of the track forces affects directly the magnitude of track
degradation. In the following, some aspects determining forces and their influence
on track degradation are presented.

12.6.1 Vehicle Characteristics

The vehicle characteristics such as speed, axle load, unsprung mass, suspension,
wheel profile, axle spacing etc. influence the magnitude of track forces (static,
quasi-static, and dynamic). The current condition of the wheel such as wheel flats
and wheel corrugation contributes to dynamic forces.

12.6.2 Track Characteristics

Track design geometry (curves etc.) influences static and quasi-static forces.
Track geometry quality is a main contributor to dynamic forces.
Corrugation6 generates high-frequency forces.
Rail imperfections such as joints or poor welds lead to impact forces.

12.7 Synopsis on the Influence of Vehicle and Track

Characteristics to the Forces on the Track
12.7 Syno ps is o n the I nfluence of Vehicle a nd Trac k C haracteristics

The following table gives a synopsis of the influence of vehicle and track
characteristics to forces on the track.

Table 5 Influence of vehicle and track characteristics to forces on the track

System System characteristics Influence on the track forces

Vehicle speed
axle load
static
unsprung mass
quasi-static
suspension,
dynamic forces
wheel profile
axle spacings
condition of the wheel dynamic forces

6
Often called rail roughness.
12.7 Synopsis on the Influence of Vehicle and Track Characteristics 47

Table 5 (continued)

Track Track design geometry static and quasi-static forces

Track geometry quality dynamic forces
Corrugation high-frequency forces
Rail imperfections impact forces
13 The Track Subsystem

Key terms:
Train guidance, wheel/rail, loads, track components, rails, fasteners, Rail
pads, sleepers, ballast, Sub-ballast, subgrade

The railway track has to fulfil two main functions:

to guide the train with safety
to carry the load of the train and to distribute the load to the subgrade
over an area that is as large as possible.
In this Chapter we will examine those two functions, and also the components of a
track, which are important elements for the proper track function.

13.1 Functions of the Track

13.1.1 Train Guidance

The main function of the track is to guide the train with safety.
The two wheels of a wheel set are rigidly connected to the wheel axle. The
wheel profiles are conical in order to steer the wheel set. Normally, the wheel set
is not exactly on the centreline of the track. Due to this eccentricity and the
conicity of the wheel set, one wheel will have a larger rolling radius than the
other.
The motion of the wheel set is described in the next table.

Table 6 The motion of the wheel set

Case A: The wheel set exactly at the centreline.

The rolling diameter of the left wheel (Dleft) is
equal to that of the right wheel (Dright).
This situation is only theoretically possible.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 4958.
DOI: 10.1007/978-3-642-36051-0_13 Springer-Verlag Berlin Heidelberg 2013
50 13 The Track Subsystem

Table 6 (continued)

Case B: The wheel set on a right curve (wheel

flange position to the left railhead)
The rolling diameter of the left wheel (Dleft) is
greater than to that of the right wheel (Dright).
The left wheel with the larger rolling radius
forces the wheel set back towards the centre.

Case C: The wheel set on a left curve (wheel

flange position to the right railhead)
The rolling diameter of the left wheel (Dleft) is
less than to that of the right wheel (Dright).
The right wheel with the larger rolling radius
forces the wheel set back towards the centre.

The motion of the wheel set described, leads to a sinusoidal movement of the
wheel set along the track (Figure 18). This movement will induce a low-frequency
lateral movement of the railway vehicle and generate lateral forces on the track.

Fig. 18 Sinusoidal motion of wheel set

13.1.2 Wheel/Rail Contact Profiles

Figure 19, shows the different contact profiles in
a straight line (left profile),
a curve
o at the outer high rail which is situated higher in a curve due to
canting, when the wheel flange contacts the railhead (the train
13.1 Functions of the Track 51

runs with the full operation speed, for which the superelevation
is given) (middle profile), and
o at the inner low rail which is lower than the outer rail, when
the wheel flange is away from the railhead (right profile).
The inside of the rail head facing the other rail is called the gauge face and the
outside of the rail head is, for obvious reasons, called the field face.

Fig. 19 Wheel/Rail contact profiles (left: straight line, middle: high rail in a curve, right:
low rail in a curve)

The wheel / rail interface will be discussed in Chapter 17.

13.1.3 Carrying the Loads of the Trains

Another function of the track is to carry the load of the train and to distribute the
load to the subgrade over an area that is as large as possible (see Figure 20).
At the contact area between the wheel and the rail, there is a high pressure (in
the figure: a force of Q=125 KN p = 42000 N/cm2). This pressure is reduced
gradually in the system components, so that the pressure to the subgrade has a
value of about 10-12 N/cm2, which is about 0,023% of the pressure at the wheel-
rail contact area, or a reduction of 3400-4200 times. The following table shows,
the gradually reduction in the system components.
52 13 The Track Subsystem

Table 7 The gradually reduction of the pressure due to load in the system components

Reduction

Between Wheel
neighbouring
components

and current
component
Area A Pressure p

Between
Wheel-Rail contact 3 cm2 125000 N /3 cm2 = 42.000 N/cm2 - -

Rail - foot 200 cm2 125000 N /200 cm2 = 625,00 N/cm2 67 67

Rail seat 510 cm2 125000 N /510 cm2 = 245,10 N/cm2 3 170
Bottom of a
2380 cm2 125000 N /2380 cm2 = 52,52 N/cm2 5 793
sleeper
Bottom of ballast 2 2 2
10100 cm 125000 N /10100 cm = 12,38 N/cm 4 3367
area

Fig. 20 Pressure distribution of the wheel force Q in the individual system components of
the track

13.2 The Track Components

Track components are grouped into two main categories (Figure 21),
the superstructure which consists of the
o rails,
o sleepers and
13.3 The Characteristics of the Track Components 53

o a fastening system to hold the components together

o ballast7, and
the substructure, which consists of the
o sub-ballast and the
o subgrade or formation.
The other elements are rail joints or welds in continuous welded rail (CWR).

Fig. 21 Typical ballasted track system

The typical track structure is ballasted track. We will here be focusing on the
ballasted track structure.

13.3 The Characteristics of the Track Components

13.3.1 Rails

Description Rails are the longitudinal steel members that directly guide
the train wheels evenly and continuously. They must have
sufficient stiffness to serve as beams that transfer the
concentrated wheel loads to the spaced sleeper supports
without excessive deflection between supports ([27]).

7
In some references ballast is counting to the substructure.
54 13 The Track Subsystem

13.3.2 Fasteners

Fig. 22 Fastener W14 ("Skl 14") - Vossloh

Fig. 23 Fastener "Fastclip" - Pandrol

A fastener must meet the following criteria [30]:

Key Features
The longitudinal resistance of the fastener must be greater
than that of the longitudinal resistance between sleeper-
ballast.
There must exist a safety factor for the longitudinal
resistance, able to cover the longitudinally unequal
distribution of clamping forces, dynamic phenomena, etc.
In case of rail rupture, the resulting gap should remain
small.
13.3 The Characteristics of the Track Components 55

Function Fasteners are typically required to retain the rails on the

sleepers, to maintain the track gauge and to resist vertical,
lateral, longitudinal and overturning movements of the rails.
Causing these movements are forces from the wheels and from
temperature change in the rails ([27]).

13.3.3 Rail Pads

The modern rail pads taking into account the today's environ-
Key features
ment where the axle loads and speeds are being increased-
shall:
1. Reduce vibration and impact transmission from rail to
sleeper by providing resilience and impact attenuation.
2. Give adequate resistance to longitudinal and rotational
movement of rail.
3. Ensure long life - minimum 10 years.
4. Ensure that the rail pad properties are stable over a wide
range of operating temperatures during life.
5. It shall not deform, abrade or move out of fastening
system under dynamic loads.
6. It is shall not be adversely affected by ozone, ultra
violet light, oils and related chemicals.
7. Reduce possibility of rail foot corrosion and concrete
sleeper erosion
8. Provide more resistance to longitudinal rail movement
due to creep or thermal expansion.
9. Provide electrical resistance between rail and sleeper
10. Provide conforming layer between rail and sleeper to
avoid contact areas of high pressure.
56 13 The Track Subsystem

Rail pads are required between the rail seat and the sleeper
Function
surface to fulfil various functions.
From a track dynamics point of view, the Rail pads play an
important role. They influence the overall track stiffness:
When the track is loaded by the train, a soft Rail pad
permits a larger deflection of the rails and the axle load
from the train is distributed over more sleepers.
Soft rail pads isolate high-frequency vibrations. They
suppress the transmission of high-frequency vibrations
down to the sleepers and further down into the ballast8.

13.3.4 Sleepers

Description Sleepers are essentially beams that span across and tie
together the two rails.

Function The sleepers (among others)

receive the load from the rail and distributes it over the
supporting ballast at an acceptable ballast pressure
level
hold the fastening system to maintain proper track
gauge
restrain the lateral, longitudinal and vertical rail
movement by anchorage of the superstructure in the
ballast
provide a cant to the rails to help develop proper rail-
wheel contact by matching the inclination of the
conical wheel shape.

8
A stiff rail pad gives a more direct transmission of the axle load, including the high-
frequency load variations, down to the sleepers below the wheels.
13.3 The Characteristics of the Track Components 57

13.3.5 Ballast

Description Ballast is the layer of crushed stone on which the sleepers rest.

Function The ballast (among others)

distributes load by from the sleepers uniformly over
the subgrade assisting in track stability
assists in absorbing shock from dynamic loads by
having only a limited spring-like action (due to the
rough interlocking particles)
anchors the track in place against lateral, vertical and
longitudinal movement by way of irregular shaped
ballast particles that interlock with each other
easily drains any moisture introduced into the system
through the ballast away from the rails and sleepers.
assists in track maintenance operations due to its easy
manipulation.

13.3.6 Sub-ballast

Description Sub-ballast is material chosen as a transition layer between the

upper layer of large-particle, good quality ballast and the
lower layer of fine-graded subgrade.

Function Sub-ballast
assists in reducing the stress at the bottom of the ballast
layer to a tolerable level for the top of the subgrade
can prevent the inter penetration of the subgrade and
ballast, thereby reducing migration of fine material into
the ballast which effects drainage
acts as a surface to shed water away from the subgrade
into drainage along the side of the track.
58 13 The Track Subsystem

The usual thickness of the gravel sub-ballast layer is 15 cm. However, some
railways do not use a sub-ballast layer and they simply use a greater thickness of
the subgrade (formation) layer.

13.3.7 Subgrade (or Formation)

Description Subgrade, or formation, is a surface of earth or rock levelled

off to receive a foundation for the track bed. Sometimes an
extra layer, a formation layer, is put on the earth so as to give
the correct profile of the track bed. On this material the sub-
ballast and ballast layers rest.
Function Subgrade
offers the final support to the track structure
bears and distributes the resultant load from the train
vehicle through the track structure
facilitates drainage and provides a smooth platform, at
an established grade, for the track structure to rest
upon.
14 The Vehicle Subsystem

Key terms:
Car body, bogie, unsprung mass, primary suspension, secondary suspension,
wheel, wheel set

14.1 Overview

Today there is a general trend towards increased train speeds (see also SECTION
II). However, higher speeds usually generate increased forces and accelerations on
the vehicle and subsequently forces on the track. This leads to requirements for
lighter car bodies, which reduce the impact between wheels and rails. However,
lowering the car-body weight also means a reduction of the stiffness of the vehicle
structure, which results in lower natural frequencies. This increases the risk of
resonance vibrations, which negatively affects ride comfort. Car body vibrations
can be reduced either by focussing on the structural stiffness of the system or by
optimizing the damping components ([56]).
Trains (or rolling stock) consist of two types of vehicle (Figure 24):

Fig. 24 Train composition of a locomotive, a passenger coach and a freight wagon

a locomotive or power-car that enables the train to move, and

wagons
o passenger coaches that carry passengers
o freight wagons that carry goods (freight).

To investigate rail track forces, vehicles can be defined by the number of axles
they have: locomotives typically have triple axle bogies; wagons may have triple,
double or single axle bogies.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 5963.
DOI: 10.1007/978-3-642-36051-0_14 Springer-Verlag Berlin Heidelberg 2013
60 14 The Vehicle Subsystem

14.2 Structure of a Typical Vehicle

A typical vehicle consists of a car body and bogies (Figure 25).

Fig. 25 A typical passenger coach

14.2.1 The Car Body

The car body is best defined as a container for the passengers or freight. The
vibrations of a car body are mainly caused by track irregularities that are
transmitted up to the car body via the bogies.

14.2.2 The Bogie

The bogie is the part that guides the train on the rails and provides stable
operation. There are two main types of bogies, one with and the other without
primary suspension (see 14.2.3).

Fig. 26 Three piece bogie ([9])

14.2 Structure of a Typical Vehicle 61

The suspension is a very important element of the bogie, and determines the
unsprung masses. The unsprung mass is the mass of a wheel, or wheel set, and
other associated components which are not dynamically isolated from the track by
vehicle suspension arrangements.
Figure 26 shows a typical three piece bogie. Load from the vehicle is applied
through the centre plate or bowl, where longitudinal or lateral relative movement
is restrained. The load is then transferred to the bolster which spans between the
two side frames and rest on secondary suspension. The secondary suspension
then takes the load and transfers it to the side frame ([9]).
Figure 27 shows the bogie of a modern train.

Secondary
suspension

Primary
suspension

Fig. 27 Boogie of a modern train

14.2.3 Primary Suspension

The primary suspension consists of spring and damper components between the
bogie and the wheel set, in order to secure a stable running behaviour, and also to
ensure low track forces, low wear and good behaviour in curves.
By including primary suspension the, lateral stability of the wagons and the ride
quality can be significantly improved. This is due to the lower unsprung mass as
the size of the unsprung mass directly relates the amount of force transferred into
the car body and track from wheel or track irregularities.
62 14 The Vehicle Subsystem

Fig. 28 Typical bogie suspensions (simple bogie)

14.2.4 Secondary Suspension

The secondary suspension interconnects the car body and bogie. It isolates the car
body from excitations transmitted from track irregularities via the wheel sets and
the bogie frames.

14.3 The Wheel Set

The Wheel set is the assembly consisting of two wheels and bearings on an axle
(Figure 29). The wheel sets are connected to a bogie.

Fig. 29 Wheel set

14.4 The Wheel

The wheel is the contact element connecting the vehicle to the track (Figure 30).
The conical form of the wheels helps the wheel set along straight or tangent track
and slight lateral displacements of the track. The conical shape also assists
14.4 The Wheel 63

steering through curves due to the rolling radius difference generated by the lateral
displacement of the wheel set in curved track (for a more analytical description
see par. 13.1.1)

Fig. 30 The wheel as the contact element of the vehicle to the track
15 Modelling the Track

Key terms:
Railway system, dynamic system, mechanical characteristics, track
components, rails, fastening system, sleepers, ballast, sub-ballast, subgrade,
track dynamic behaviour, continuously supported models, discretely
supported rail beam, Beam on Elastic Foundation (BOEF), Euler
Bernoulli beam, Rayleigh Timoshenko beam, pin-pin vibration, spring
damper system, vehicle bridge Interaction

15.1 The Railway System as a Dynamic System

The railway system can be considered as an assembly of structural components
with specific mechanical properties. They are characterised by their frequency
response function which is directed by mass elastic properties. These parameters
define the frequencies at which the structure is likely to vibrate [9].
For analysing the track behaviour its important to understand the mechanical
characteristics of the main elements of the rail track when trying to model the
railway system, taking into account dynamic phenomena from the interaction
between load (from a running train) and the track components9.

15.2 The Mechanical Characteristics Considered in Modelling

Track Components
A discussion of the mechanical characteristics of the track components considered
in modelling track is provided below (see also par. 13.3) [9].

15.2.1 The Rails

Rails are linear elements of an infinite length. This allows modelling the rail as
beams. Rails have flexural stiffness in vertical and lateral directions and
compression stiffness in the longitudinal direction. Rails also have a shear
stiffness which is often neglected.

9
According to Esveld [26], dynamics can be defined as the interaction between load and
structure. Track and vehicles can be seen as a structure.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 6578.
DOI: 10.1007/978-3-642-36051-0_15 Springer-Verlag Berlin Heidelberg 2013
66 15 Modelling the Track

Fig. 31 Vertical, horizontal, rotational and longitudinal forces that the fastening system and
rail seat are subjected to under rail vehicle and thermal loading

15.2.2 The Rail Fastening System

15.2.2.1 Overview

The rail fastening system commonly used on concrete sleepers comprises a

resilient spring fastener, acting essentially in parallel with a much stiffer rail pad
[9].
The load/deflection behaviour of the fastening system is non-linear ([38]);
however, some linearization of the load/deflection behaviour can be justified.
For vertical vibration a pad is usually modelled as a spring and viscous dashpot
(damper) in parallel. Rail pads are mainly loaded in compression, permanently by
the fastening system by the rail traffic. The inclusion of rail pads is effective in
reducing this force as it reduces the effective track mass acting on the sleepers and
ballast. Thus the rail pad is the one component which can be most readily
changed to influence the tracks dynamic behaviour and rate of degradation.

15.2.2.2 The Dynamic Interaction between the Rail and the Fastening
System

The stiffness of a fastening system is one of the most important characteristics that
directly impacts the fastening systems long-term performance under repeated axle
loading. The dynamic rail / fastening system interaction can be viewed as a
complete set of springs and dampers (see following figures). The stiffness of each
component determines how much the rail is allowed to move within the rail seat
[69].
15.2 The Mechanical Characteristics Considered in Modelling Track Components 67

(1) Rail - Tension clamp / Upwards motion

(2) Rail Rail pad / downwards motion

68 15 Modelling the Track

(3) Rail - Tension clamp Pad / sideward motion

15.2.3 Sleepers
Sleepers may be modelled as
rigid beams or
beams with flexural and shear stiffness or
rigid bodies.
At higher frequencies, the mass of a sleeper becomes increasingly important and it
is essential to consider the sleeper as a dynamic component that has both mass and
stiffness. Because of its distributed mass and stiffness, the sleeper resonates at a
series of frequencies, the most significant for typical sleepers being around 200 Hz
and 650 Hz.

15.2.4 Ballast and Sub-ballast

Ballast and sub-ballast is typically modelled as a load distributing material.
Ballast material in particular deflects in a highly non-linear manner under load
due to vacuums at the sleepers/ballast interface and also in the ballast itself.
Despite this, ballast beds are often modelled by discrete or distributed linear
springs and viscous dampers in the vertical direction.
The mass properties of a ballast bed are also important; however the amount of
mass that should be incorporated in dynamic models is difficult to estimate.
15.3 Components to Reduce the Forces 69

15.2.5 Subgrade
Subgrade material is similar to ballast material in its properties. The load
distribution influences the effective mass and the stiffness and damping properties,
so that modelling is considered as very complicated.

15.3 Components to Reduce the Forces

The entire system of railway components can be divided into two subsystems:
the vehicle
the track.
Between both subsystems there is a physical wheel/rail contact.
Suspension systems are used in order to reduce the forces from the running
train to the superstructure and the substructure. The reduction of the forces is done
in the vehicle and the track (through suspension systems) as described in Table 8
[9]:

Table 8 Reduction of the forces in the railway system

Stages to
reduce the Subsystem Measures
forces
Primary suspension: suspension system between
1st stage the wheel-set and bogie to reduce vibrations from
wheel/rail interaction.
Vehicle
Secondary suspension: suspension system
2nd stage between the bogie and car body, aiming at
reducing the vibrations of lower frequency.
3rd stage Rail pad and fastener
th
Track
4 stage Ballast/sub-ballast layers

As described in par. 13.1.3, the reduction of the pressure (due to the forces)
under the ballast is about 3400-4200 times. According to Esveld [26]) there are
some similarities in modelling of vehicle and track, as shown in the following
table.
70 15 Modelling the Track

Table 9 Similarities in modelling of vehicle and track

Vehicle Track
Suspension system
Primary
between the wheel-set Rail pad and fastener
suspension
and bogie
Suspension system
Secondary Ballast / sub-ballast
between the bogie and
suspension layers
car body

15.3.1 Models of Track Dynamic Behaviour

Models of track dynamic behaviour may be generally classified into two
categories:

those that represent the track as a continuously supported rail beam and
those that represent the track as a discretely supported rail beam.

Continuously supported models of infinite length are based on the beam on

elastic foundation theory.

Fig. 32 The rail deflection due to a running train (after [12])

The rail, pads, fastenings, sleepers, ballast, sub-ballast and subgrade are
components that define the value of the modulus of track elasticity (see Chapter 16).
Discretely supported models are similar to the continuously supported models
and often have multiple layers representing the rail pads, sleepers, ballast, sub-
ballast and subgrade.
According to this presentation, a model for the entire railway system can be
developed consisting of

masses,
springs and
dampers (Figure 33).
15.3 Components to Reduce the Forces 71

mass spring damper

Fig. 33 Symbols used for the constituents of the model for the railway system

15.3.2 Continuously Supported Models: Rail as a Beam on

Elastic Foundation (BOEF)
Rail as a Beam on Elastic Foundation may be modelled as
an ordinary Euler Bernoulli beam10 (the classical beam theory) or
a Rayleigh Timoshenko beam. The Rayleigh Timoshenko beam
theory includes the rotatory inertia of the beam cross section and beam
deformations due to the shear force. Also, a longitudinal (axial) force in
the rail may be included in these models.
Winkler (1867) used for modelling of the railway system, Euler Bernoulli beam
theory: an infinitely long rail beam resting on a uniform elastic foundation (Beam
on Elastic Foundation (BOEF) model).
The rail is modelled as a beam (with bending stiffness EI) which rests on a
continuous elastic foundation (Figure 34). The elastic foundation represents all
track components and is modelled by evenly distributed linear spring stiffness.
The distributed force supporting the beam is then proportional to the beam
deflection (Figure 35).
Based on this model, the deflection and bending moment of the rail beam due
to the moving load can be determined.

10
The EulerBernoulli beam theory (or classical beam theory or just beam theory) is a
simplification of the linear theory of elasticity which provides a means of calculating
the load-carrying and deflection characteristics of beams. It covers the case for small
deflections of a beam which is subjected to lateral loads only. The Euler-Bernoulli
equation describes the relationship between the beam's deflection and the applied load.
72 15 Modelling the Track

Fig. 34 Beam on elastic foundation (unloaded)

Fig. 35 Beam on elastic foundation loaded with a point force P from the wheel. The thick
line indicates beam (rail) deflection due to the wheel load P.

This is the simplest track model and is still in use for easy and quick track
deflection calculations for track design and analysis purposes.
The vertical deflection y, for a given point load P as a function of the distance
from the load x, is:


The bending moment is

Where:

and
P is the load
x is the distance along the track
E is the Youngs modulus of elasticity of the rail steel (beam) and
Iz is the second moment of area of the beam.
u is the estimate of the track modulus (see Chapter 16).
With this model it is also possible to calculate, for example, the individual sleeper
reaction (by multiplying by the sleeper support stiffness and the sleeper
deflection), due to the fact that load is proportional to the deflection. The load is
shared mostly between three sleepers, with the sleeper beneath the load taking 40-
50% of the axle load.
15.3 Components to Reduce the Forces 73

The BOEF method was originally developed for longitudinally sleepered

tracks, and has since been applied to transversely sleepered track. The BOEF
model is generally regarded as the most acceptable method for the analysis of rail
foot stress and rail deflections.
This model may be used only for static loading of a track on a soft support (i.e.
a track with wooden sleepers). Dynamic effects cannot be analysed using this
model as it contains no mass.
Especially, the pinned pinned frequency at approximately 800 to 1000 Hz,
when the rail vibrates with nodes at the sleepers, is not contained in this model.
To simulate this model the function of rail pads, sleepers, and ballast, we have
to introduce several continuous layers instead of the single layer shown in Figure
34 and Figure 35.
A continuous model like this one was used for the examination of the behaviour
of the track support [71]. Effects of changes in the support (the rail pads) were
studied, and it was found that a softer rail pad isolates the sleeper more effectively
and it will significantly reduce the sleeper strains [32].
The classical representation of the track as a simple BOEF with a single
moving load provided an initial understanding of track vibration at the steady-
state. It is however an oversimplification of track modelling when subjected to
high frequency impact associated with modern-day railway tracks. Several
deficiencies arise from the BOEF model:
Sleeper mass and bending flexibility are ignored;
The shear distortion and rotary inertia of the rail, that are important
factors for high frequency vibration, are not accounted by the simple
Bernoulli- Euler theory;
The discrete rail supports from individual sleepers are neglected and
replaced by a uniform underlying foundation;
Impact or impulsive loading associated with high frequency vibration is
not considered; and
Detailed dynamic behaviours of track components are not obtained.
The range and applicability of the one-dimensional theory of beams can be
extended by taking account of transverse shear deformations and rotary inertia in
the case of vibrating beams.
The limits of use the BOEF model are presented in the following table:

Table 10 Limits of use the BOEF model

Use of the model Disadvantages of the model

Use only for static loading of a track
on a soft support (i.e. a track with
wooden sleepers)
Dynamic effects cannot be analysed
The pinned pinned frequency (when
the rail vibrates with nodes at the
sleepers) cannot be described
74 15 Modelling the Track

15.3.3 Discretely Supported Models

15.3.3.1 Overview

Modern railway tracks are characterised by accurately positioned continuous

welded rails and sleepers. This makes the mechanical modelling of railway track
rather simple: two straight parallel beams supported by sleepers at equal distances
(Figure 36).

Fig. 36 Rail as straight parallel beam supported by sleepers at equal distances

Discretely Supported Models are similar to the continuously supported models

but
they consider the discrete spacing of sleepers.
they often have multiple layers representing the Rail pads, sleepers,
ballast, sub-ballast and subgrade.
As a consequence, the rails will obtain vibration modes related to this type of
supporting. The most important vibration mode will be like a kind of bending
between discrete points or pins, where the rail vibrates with nodes at the sleepers
(Figure 37). With some simplifying assumptions, this pin-pin vibration resonance
occurs at a specific frequency fpp, which can be calculated by [33]:

EI
fpp = 2
2l m

Where
I : distance between two supports [m]
EI: bending stiffness of the rail (static) [Nm2]
m : mass of the rail per unit length [kg/m']

Fig. 37 Pin-Pin vibration mode

15.3 Components to Reduce the Forces 75

The equation is a general one, based upon an infinitely long beam and perfectly
supported at small but rigid points.
This assumption doesnt correspond to reality: the rail sits elastically on the
sleeper with an elastic rail pad in-between. Also the sleeper seats elastically in the
ballast.
These and other elements may influence pin-pin resonance. These elements
introduce new significant vertical resonances. For most track structures these three
vertical resonances are dominant and lie between 30 and 2000 Hz.

15.3.3.2 Pin-Pin Resonance as a Reference in Determining Ballasted Railway

Track Vibration Behaviour
Pin-pin resonance is one of the most significant preferred vibration modes of
beams, which are supported at equal distances, such as rails at sleepers in railway
track structures do [32].
To include also the pinned pinned frequency in the track model, the
continuous rail should be supported at discrete points.
The supports could then be either discrete spring damper systems or spring
mass spring systems, modelling Rail pads, sleepers and ballast bed.
One commonly used method to model this is to place the rail (a beam) on a
spring and a damper in parallel: by this spring damper system (see Figure 38):

rail is modelled as a beam

the rail pads are modelled by spring damper systems,
the sleepers are rigid masses, and
the ballast -as an elastic foundation- is modelled by spring damper systems

Fig. 38 Rail on discrete supports

76 15 Modelling the Track

Using this track model, the three resonance frequencies can be captured, namely
the track structure bouncing on the ballast,
the rail and sleeper vibration with the rail pad as a spring between the two
masses, and
the pinned pinned frequency.

15.3.3.3 Discretely Supported Track Including Ballast and Subgrade

The ballast and subgrade masses influence each other, indicating that a deflection
at one point (at one sleeper) will influence the deflection at the neighbouring
sleepers.

Fig. 39 Rail on discrete supports with rigid masses modelling the sleepers [32]

By this spring damper system (see Figure 39):

rail is modelled as a beam,

the rail pads are modelled by spring damper systems,
the sleepers are rigid masses,
the ballast is modelled by spring damper systems
the subgrade is modelled by spring damper systems

By this model, the four resonance vibration modes may be captured:

embankment vibration,
track-on-the-ballast vibration,
rail-on-rail pad vibration, and
pinned pinned vibration of the rail
15.3 Components to Reduce the Forces 77

15.3.4 Vehicle Bridge Interaction (Train Passing a Bridge)

When a train enters a bridge, the change of the stiffness on the transition zone
between the plain track and the bridge (on plain track i.e. E25*106, on the bridge
E100*106) often causes problems. This change of stiffness causes increased
dynamic forces, which depends on the speed, the stiffness ratio, the damping
properties and the transition length (Figure 40) [46].

Fig. 40 A train passing a bridge

Not only a track, but also a railway bridge is a dynamic system. Both systems
interact when a train is passing the bridge. This can be modelled as moving mass
on simply supported beam (Figure 41).

Fig. 41 Contact force between a moving mass M and a simply supported beam [32]

The overall behaviour of the beam mass system when a train is passing the
bridge will be described below:
78 15 Modelling the Track

Table 11 The overall behaviour of the beam mass system when a train is passing the
bridge (after [9])

Event What happens Why it happens

The wheel enters the contact force equals the static
the bridge load of the wheel i.e., F(0) = Mg

immediately when the wheel starts to the bridge (the

load the bridge, the contact force F beam) starts to
decreases deflect under the
horizontally
moving mass (the
wheel)

the dead load Mg of the mass

becomes larger than the reaction
force F(x) and because of the
the mass will start to move decrease of the
downwards (it follows the contact force
deflected beam)

After a while the beam deflection

will change direction and the beam
moves upwards, also pushing the
mass upwards:
This induces a large contact force
between the mass and the beam
F(x) becomes larger than Mg
The wheel reaches The wheel beam contact force has
the position x= its maximum, which is almost 2.5
0.82 L times the static load Mg.
This causes the wheel to continue
moving upwards, and, the wheel will
lose contact with the beam just before
it reaches the support to the right.

A further discussion of the transition of track and bridge is presented in par.

16.7.
16 The Effect of Track Stiffness on Track
Performance

Key terms:
track stiffness, track modulus, vertical deflection, rail deflection, global
track stiffness, deterioration process, transitions on the railway track

16.1 Track Stiffness Track Modulus (An Overview)

What is track stiffness? There is not a complete consensus on definitions of track
stiffness. The most general understanding defines track stiffness as the elastic rail
deflection that takes place under a wheel loading.
This generic track stiffness is a function of the structural properties of the
rail,
resilient pads in the track structure,
sleepers,
ballast,
sub-ballast and
subgrade soil(s).
Fundamental analysis of track stiffness has typically been approached by means of
the Beam on Elastic Foundation (BOEF) approach (see par. 15.3.2).
This analysis technique is known to be reasonably representative, but
introduces the concept of the track modulus, i.e. the stiffness of the spring k per
unit length of track.

Track stiffness Track modulus

rack stiffness refers to the rails.
It is
the elastic rail deflection that
takes place under a wheel
loading.
the ratio of the load applied
to the rail to vertical rail
deflection
Track modulus refers to the track.
It is
the stiffness of the spring k
per unit length of track.
a measure of the vertical
stiffness of the track
foundation

This constant k is that which would be obtained by applying a uniformly

distributed load along the whole track and recording the deflection. The modulus

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 7987.
DOI: 10.1007/978-3-642-36051-0_16 Springer-Verlag Berlin Heidelberg 2013
80 16 The Effect of Track Stiffness on Track Performance

therefore represents the equivalent series stiffness of all the components of the
track.
It is:
1 1 1 1 1 1 1

where ki is the coefficient of Rail Support Modulus11 of each layer. This implies
that ktotal is a coefficient of quasi elasticity (stiffness) of the track, the equivalent of
the spring constant in Hookes law. It is defined as the reaction coefficient of
the sleeper, and i is the spring constant of each layer [134].
Track stiffness includes the bending stiffness of the rail, whereas track modulus
is concerned only with the support condition below the rail.
Both track modulus and track stiffness are related to the track performance.

16.2 The Calculation of Track Modulus

The most commonly known method for the calculation of track modulus is the
beam-on-elastic foundation method (par. [15.3.2]). A vertical force P (wheel)
produces a vertical rail deflection y.
The track stiffness k, taken at a point as the wheel passes directly overhead, is
defined as
P
k
y
The vertical deflection y, for a given point load P as a function of the distance
from the load x, is (see also par. 15.3.2):

[42]

Where:
[42]
and
E is the modulus of elasticity of the rail steel (beam) and
Iz is the second moment of area of the beam.
u is the estimate of the track modulus.
Figure 42 shows the results of this model. The deflection of the rail relative to the
ground is shown for a fully loaded by a freight wagon for various track moduli.
The maximum absolute deflection occurs at the wheel/rail contact points for high
modulus (stiff) track and at the midpoint between the wheels for low modulus
(soft) track.

11
c in German literature, k in American literature, In French literature.
16.2 The Calculation of Track Modulus 81

Fig. 42 Winkler Model of Rail Deflection ([42])

Typical track stiffness values are shown in Table 12.

Table 12 Typical Track Stiffness Values (after [50])

Stiffness
[MN/m]
Soft Track bed 10
Typical Track bed 40
Stiff Track bed 100
Soft Rail pad 75
Typical Rail pad 150
Stiff Rail pad 500
All values per sleeper end
82 16 The Effect of Track Stiffness on Track Performance

16.3 Track Stiffness and Deterioration

Global track stiffness is a combination of stiffnesses of all different layers and
components.
The way local stiffnesses are combined determines the displacements of each
layer. Forces and displacements will together with support conditions determine
bending moments, as described in the following cases:

Case Influence / Result Explanation

Track of low global Large displacements and
stiffness large bending moments Large rail
of the rail. displacements: more
Dynamic train-track sleepers will be
interaction forces will be involved sharing the
relatively low. load leading to lower
Influence on long-term forces on sleepers.
fatigue conditions.
Track of high Small displacement and
Small rail displacements
global stiffness small bending moments
have the effect that
of the rail.
fewer sleepers will share
Dynamic train-track
the load increasing
interaction forces will be
forces for each sleeper.
relatively higher.

Ballast and sub-layers are influenced both by stiffnesses above and under
themselves. A ballast layer resting on bedrock will experience large internal
compression/expansion during a train-passage as compared to a ballast layer
resting on a soft clay layer.
A differential settlement in the ballast layer is more connected with compaction
and variations in sleeper support. Two soil layers can have the same stiffness, but
totally different ability for settlements. Yet, very soft layers, such as clay and peat,
have generally close correlation between stiffness and settlements.
The track stiffness experienced by a train will vary along the track. Sometimes
the stiffness variation may be very large within a short distance [48].
Examples:
(1) Unsupported sleeper: Track stiffness is locally at that sleeper, very low.
(2) Insulated joints: the bending stiffness of the rail has a discontinuity
implying a discontinuity also of the track stiffness.
(3) Transition from an embankment to a bridge (see par. 15.3.4).
(4) At switches both mass and stiffness change rapidly (see par. 17.6.3.3).
Changes of track stiffness will induce changes in the wheel/rail contact force. This
will intensify track degradation such as increased wear, fatigue, track settlement
due to permanent deformation of the ballast and the substructure, and so on.
16.4 Track Stiffness Irregularities and Its Origin 83

As soon as the track geometry starts to deteriorate, the changes of the

wheel/rail interaction forces will increase, and the track deterioration rate
increases (Figure 43).

changes in
changes of track
the wheel/rail
track stiffness degradation
contact force

wheel/rail
track
interaction
deterioration
forces will
rate increases
increase
Fig. 43 The deterioration process due to variation in track stiffness

The rate of degradation of track components and the rate of track settlement
will depend on the severity of the stiffness variation. As soon as the track
geometry starts to deteriorate, the variations of the train/track interaction forces
increase, and this speeds up the track degradation rate.
Therefore, the influence of track stiffness irregularities on the development of
track settlement and on the deterioration of track components and materials cannot
be ignored.
By modifying the stiffness variations along the track, for example by use of
grouting or under-sleeper pads, the variations of the wheel/rail contact force may
be considerably reduced.

16.4 Track Stiffness Irregularities and Its Origin

Track stiffness irregularities may have its origin in the
track superstructure (rails, rail pads, sleeper, ballast) or
substructure (foundation, subgrade soil, etc.).
An example for cause an irregular stiffness of the substructure and of the ballast
could be a non-uniformly compacted ballast lying on substructure, with properties
varying along the track. In this case, the track stiffness experienced by a train will
also vary along the track.
Places along the track where track stiffness will change rapidly are for example
at
pile decks,
embankments, bridges (the transition area from an embankment to a
bridge is a place where severe track settlement may occur) (see par.
15.3.4)
transition zones etc. (see par. 15.3.4 and par. 16.7)
84 16 The Effect of Track Stiffness on Track Performance

switches and turnouts, especially at the crossings (the frogs) (see par.
17.6.3.3),
insulation joints,
hanging sleepers (the track stiffness changes very rapidly) (see par.
19.7.2).

16.5 Track Stiffness and Maintenance

In order to determine the necessary maintenance actions for the substructure, its
condition must be known. Usually most attention has been paid by the
Infrastructure Managers to inspection techniques of the superstructure. Especially
for the sub-ballast and the subgrade (subsoil) less consideration has been given,
although they have a substantial influence on the track maintenance costs.
The vertical stiffness of a railway track plays an important role when
considering maintenance work, but it is also an important factor when looking at
dissipated energy of a train.
Optimal values of the vertical stiffness are proposed in [63]. Optimal values
optimize maintenance costs and the costs for dissipated energy of a train versus
the vertical track stiffness. According to [63] the optimum vertical track stiffness
should be between 70 and 80 kN/mm.
UIC Leaflet 719R 12 gives advice on the construction of earthworks for railway
lines and considers also the special case of transitions to structures.

Railway track stiffness (vertical track load divided by track deflection) is a

basic parameter of track design which influences
the bearing capacity,
the dynamic behaviour of passing vehicles and, in particular,
track geometry quality and the life of track components.

16.6 Smoothing Track Stiffness Irregularities

In order to construct a transition zone with the desired variation of stiffness and
geometry there are some possibilities:
Use of elastomeric products, such as rail pads, under sleeper pads (USP),
and sub-ballast mats (SBM),
Use of geogrid (or geotextile) reinforcements
Chemical treatment of sub-soil
Management of the ground water
Use of fastenings with varying elasticity

12
UIC Code 719R Earthworks and Trackbed Construction for Railway Lines.
16.7 Changes of Track Stiffness in Transitions on the Railway Track 85

16.7 Changes of Track Stiffness in Transitions on the Railway

Track

16.7.1 Forces at the Transition Zones

Transition zones are zones in which the track stiffness changes abruptly.
Transition zones are usually associated with track geometry deterioration that
requires frequent maintenance. This change of stiffness causes increased dynamic
forces, which depends on the speed, the stiffness ratio, the damping properties and
the transition length.
Transition zones can usually be found near bridges, abutments and tunnels. As
discussed in par. 15.3.4, when a train enters a bridge, the change of the stiffness on
the transition zone between the plain track and the bridge (on plain track i.e. E
25 X 106, on the bridge E 100 X 106) often causes problems. The observed
problems in the transition zone can include [49]
ballast penetration into the subgrade,
hanging sleepers (i.e. voids forming underneath the sleepers) (see 19.7.2),
permanent rail deformation
worn track components
cracking of the sleepers (and/or slab track) and
loss of gauge

16.7.2 Railway Track Transition Mechanics

Railway track transition mechanics can be explained as follows ([49], see also par.
15.3.4):
(1) At transition points the trains wheel will experience rapid changes in
elevation (either up or down) due to abrupt changes in track stiffness
(2) The vehicle components start to excite (wheel, boogies and car body)
(3) The excitation of the track components leads to vertical vehicle track
interaction forces, depending on
a. the elevation change, which is related to the change of the
stiffness
b. the train speed
c. the vehicle mass
d. the suspension characteristics of the vehicle
In the transition zone, the track may settle more than on the plain line track (before
entering the bridge or the tunnel) than at the rigid base (bridge or tunnel), where
the track is stiffer. This can lead to dips in the track position (running surface)
and hanging sleepers (see 19.7.2). In cases of soft subgrade soils and / or poor
drainage, the settlement close to the transition zone can be significantly
accelerated.
86 16 The Effect of Track Stiffness on Track Performance

Due to the relationship between the dynamic load of the running trains and the
track deflection, the track geometry in the transition zone can deteriorate at an
accelerating rate through a self-perpetuating mechanism: as the dynamic
load increases so does the track differential settlement, which in turns leads
to even higher dynamic forces and so on [49].

16.8 The Role of the Track Components for the Track Stiffness
The track components, as part of the track-structure, determine the track stiffness.
The track stiffness derives from the series value of the individual components
[50]:
Rail The relationship between track modulus and track
stiffness is determined by the rail bending stiffness.
Rail pad There is a greater tendency towards softer Rail pads,
particularly for high speed application, as they
obviously reduce dynamic impact forces.
Baseplate pads Baseplate pads provide greater track flexibility
without excessively compromising rail fastening
arrangements, primarily for the reduction of ground
vibrations.

Sleepers Concrete sleepers are basically rigid. With timber

Sleeper Spacing
Under sleeper pads
Ballast
sleepers the effective track stiffness is certainly
lower.
Reducing intervals between sleepers increases track
stiffness.
They are used to reduce ground vibration or reduce
track stiffness on ballasted bridges.
As a bulk material ballast is relatively stiff and its
stiffness depends to a certain extent on the degree of
compaction.

16.9 Influences on Track Stiffness

16.9.1 Direct Influences of Track Stiffness

Parameters affecting direct track stiffness are:
A stiff rail distributes the load over a greater number of sleepers, whereas
a less stiff track modulus distributes the load over fewer sleepers (this
would mean higher sleeper and rail fastening forces).
A stiff rail results in lower rail deflection and lower (static) bending
stresses in the rail.
A stiff track modulus results in lower (static) rail deflection and stresses.
16.10 Track Stiffness and the Influence on Noise and Vibration 87

Low Track bed stiffness directly produces an increase in ballast

settlement [68].

16.9.2 Long-Term Influences of Track Stiffness

The three primary areas of influence of the track stiffness on track life-cycle
behaviour seem to be [50]:
Track geometry deterioration
Rail fatigue
Other component deterioration
For track geometry, the track bed (and particularly the sub-soil) stiffness appears
to be most relevant. Differential track settlement is the primary cause of track
geometry deterioration. The track stiffness can vary due to a variety of reasons
such as:
Geology
Moisture content
Embankment material
Ballast and sub-soil layer depth
Structures

16.10 Track Stiffness and the Influence on Noise and Vibration

Track stiffness requirements for noise and vibration may differ from those for
track life cycle performance [50].
For noise the stiffer the rail pads and the softer the ballast produces the lowest
noise levels. However, the surface roughness of the railhead is significant for the
amount of noise radiated by the wheel and rail. Thus, any changes to the stiffness
of the Rail pad and the ballast that increase the growth of rail head roughness is, in
the long term, likely to be important.
With ground borne noise, ground borne vibration and bridge noise, the response
of the ground and the building are significant. This means that the optimum
stiffness for the rail pads and ballast will be specific to a site. However, the overall
condition of the track has a significant influence in the amount of vibration and
noise entering the ground. Therefore, in the long term any influences that rail pad
stiffness and ballast stiffness have on the track condition are likely to be
significant [50].
17 The Wheel-Rail Interface

Key terms:
wheel/rail contact, wheel tread, wheel flange, contact area, normal contact,
Hertzian contact, Hertzian Contact Theory, Hertzian spring, tribology,
friction, lubrication, wear, short wavelength irregularities, long wavelength
irregularities, impact loads, oscillations, vibrations, and noise, wheel out-
of-roundness, rail bending stiffness, wheel flats, rail joints, wheel wear,
friction control, friction modifiers, contact stresses, Active control of vehicle
dynamics, wear-resistant wheel profiles, rail grinding

17.1 Overview
The wheel/rail contact determines the capabilities of the railway system. This
contact is the critical point at high speeds and in cases of heavy freight trains with
high axle load, due to the high contact forces and the dynamics, but it is also
responsible for noise emissions and wear (Figure 44).

Static forces

Contact Semi-static
forces forces
Dynamic
forces
Wheel rail Dynamic Oscillations
contact phenomena etc.
Noise
emissions

Wear

Fig. 44 Wheel-rail contact impacts

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 89112.
DOI: 10.1007/978-3-642-36051-0_17 Springer-Verlag Berlin Heidelberg 2013
90 17 The Wheel-Rail Interface

Figure 45 shows the parts of a wheel at the rail interface.

Fig. 45 Parts of a wheel at the rail interface

As we mentioned in 13.1.2, the outer rail in a curve is situated higher in a curve

due to canting and it is called the high rail. The inner rail is lower than the outer
rail and is therefore called the low rail.
The inside of the rail head facing the other rail is called the gauge face
and the outside of the rail head is, for obvious reasons, called the field face
(Figure 46).

Fig. 46 Gauge face - Field face of the rail

17.2 The Normal Contact (Hertzian Contact)

The study of the contact between bodies is possible today with finite element
methods. However, the necessity to calculate as quickly as possible leads to the
use of analytical methods [32]. This section describes the classical Hertzian
model.
Railway track dynamic models typically use the Hertzian Contact Theory to
represent the wheel-rail contact (Figure 47).
17.2 The Normal Contact (Hertzian Contact) 91

Fig. 47 The wheel - rail contact

Hertzian contact stress refers to the localized stresses that develop as two
curved surfaces come in contact and deform slightly under the imposed loads
(Figure 48). This amount of deformation is dependent on the modulus of elasticity
of the material in contact. It gives the contact stress as a function of the normal
contact force, the radii of curvature of both bodies and the modulus of elasticity of
both bodies.

Fig. 48 Stresses in a contact area loaded simultaneously with a normal and a tangential
force. Stresses were made visible using photo elasticity

Hertz13 demonstrates that ([32])

when two elastic bodies are pressed together in the following conditions:
Elastic behaviour
Semi-infinite spaces

13
H. Hertz, ber die Berhrung fester elastischer Krper (On the contact of rigid elastic
solids). In: Miscellaneous Papers. Jones and Schott, Editors, J. reine und angewandte
Mathematik 92, Macmillan, London (1896), p. 156 English translation: Hertz, H.
92 17 The Wheel-Rail Interface

Large curvature radius compared to the contact size

Constant curvatures inside the contact patch.
then:
The contact surface is an ellipse
The contact surface is considered flat
The contact pressure is a semi-ellipsoid.

Fig. 49 Contact between two spheres

17.3 Train Running on Track

Vehicle and track can be seen as oscillatory systems. When a train is running,
there are dynamic interactions between the two systems.
This dynamic interaction leads to forces between both systems and their
components. Due to the physical damage caused by long-term process, changes
are produced in the individual system characteristics, and thus lead to changes of
dynamic loads.
The type of the interactions depends on the relevant system properties (such as
mass, stiffness and damping, see Chapter 14) but also on the maintenance
efficiency of the vehicles and the track.
When a train is running on the track, the springs and masses of the train14 and
the track15 contribute to the dynamic behaviour of the whole system (train track)
and other resonance frequencies will appear (Figure 50). Dynamic effects in the
complex train track system become more significant when train speed increases
and when the axle load gets higher.
14
Wheel sets, suspensions, bogie frames.
15
Rails, fastening system, ballast, subgrade.
17.3 Train Running on Track 93

Fig. 50 Hertzian spring between wheel and rail

One spring is the contact spring, at the wheel rail contact (see Chapter 14
and Figure 19). The elastic deformation at this contact area can be seen as
deformation of a spring with nonlinear characteristics. The stiffness of the
contact spring increases with increasing wheel rail contact force. This spring
will influence the high-frequency behaviour of the wheel rail system16.
In Figure 51 an ideal situation is described: vehicle and track in a perfect
condition. The track is loaded only by the static load, no dynamic effects influence
the track.

Fig. 51 Wheel and track in a perfect condition

16
The spring is called a Hertzian spring, named after Hertz who investigated the contact
between elastic bodies.
94 17 The Wheel-Rail Interface

Fig. 52 Track with irregularities

Fig. 53 Track and wheel with irregularities

Fig. 54 Irregularities of track affect the wheel and wheel out-of-roundness affects the track
quality
17.4 Tribology 95

This situation is only theoretically possible. In reality we have track

irregularities, which affects dynamic loads of the running train, additionally to the
static load (Figure 52). This situation assumes that all the vehicles of a moving
train have wheels without any irregularity, which do not correspond to reality. The
wheel out-of-roundness causes additional dynamic forces, depending on the size
of the wheel irregularities (Figures 53 and 54).
The following example demonstrates the impact of a track fault (a faulty weld
on the rail) with changes in the individual system characteristics that lead to
changes of the dynamic loads.

Example: a faulty weld on the rail:

Cause Impact Explanation
Faulty weld Forces at a running
A faulty weld on the rail, induces
on the rail train
forces at a running train

Wear on individual The forces are transmitted through

ballast stones the sleepers to the ballast.
In the ballast bed, as a result of the
big forces, an increased wear on
individual ballast stones arise
Track settlements The position of the stones with
each other changes, which results
in track settlements.
Caused by the changed track
New interactions
position and changed ballast
between the vehicle
properties there are new
and the track
interactions between the vehicle
and the track

Irregularities of track affect the wheel and wheel out-of-roundness affects the
track quality.

17.4 Tribology
Tribology17 is the science and technology of ([52])
friction,
lubrication and
wear
In any situation where one surface rolls or slides over another, whether lubricated
or not, it is affected by complex tribological interactions.
There are many parameters influencing the performance of a tribological
system, either dry or lubricated.
17
From the Greek tribo ( -meaning I rub).
96 17 The Wheel-Rail Interface

17.4.1 Friction
The friction force is the resulting resistance when a solid object in contact with
another is moved tangentially with respect to the surface of the other [52].
The ratio of the friction force (F) to the normal load (P) is called the coefficient
of friction ().

It is often desirable to have

low friction, to save energy (high friction results in energy losses), or
high friction, as in the case of brakes or in the running band of a
wheel/rail contact.
Depending on the contact conditions, the friction can be divided into two main
categories:
rolling friction and
sliding friction.
Within each main category there are further classifications depending on whether
the interface between the surfaces is dry or lubricated. To be able to determine the
friction coefficient for two surfaces in contact, a large number of variables need to
be known. Due to the difficulties of determining all parameters, it is usually only
possible to give rough estimation for the friction coefficient.

17.4.2 Wear
Wear is the process leading to loss of material from one or more solid surfaces in a
sliding, rolling or impact motion relative to one another [52]. The wear causes
mainly roughness by rail and wheel and changes also the respective profiles,
which evokes new contact situations. Moreover, we have the fact, that railway
vehicles especially in a narrow curve tend more to slip than to roll.
Theoretical prediction of wear is difficult and wear coefficients are often
calculated from experiments to get accurate results.

17.5 Irregularities and Impact Loads Generating Excitation

Frequencies
A wheel running at a speed v (m/s) over a sinusoidal rail irregularity of
wavelength (m) will observe an excitation frequency f (in Hertz, Hz) that is:
v
f =

With vehicle speeds v = 5 to 60 m/s (20 to 220 km/h) and with irregularity
wavelengths = 0,030 to 0,300 m (3 to 30 cm) one obtains excitation frequencies
17.5 Irregularities and Impact Loads Generating Excitation Frequencies 97

in the frequency interval f = 17 to 2000 Hz. Longer wavelengths give lower

frequencies.
The excitation will then induce vibrations and noise in the train and in the track
structure and the environment. Resonances in the train track system will also
amplify these vibrations at the resonance frequencies.
The sources generating train and track vibrations are:
long wavelength irregularities and (Figure 55)
short wavelength irregularities (railhead corrugation) (Figure 56),
impact loads.

Fig. 55 Long wave track irregularities tends to cause body vibration, affecting the riding
comfort

Fig. 56 Short wave length track irregularity tends to cause wheel vibration, affecting axle
weight fluctuation and vibration

Especially at high speed, other dynamic phenomena appear. A large number of

excitation sources exist that may induce oscillations, vibrations, and noise in the
train and in the track and its surroundings (impact to passengers), as described in
the following table:
98 17 The Wheel-Rail Interface

Table 13 Causes of oscillations, vibration and noise and the impact to passengers (after
[52])

Phenomena Causes / Impacts for the passengers

18
Ground Vibrations and Trains induce ground vibrations that are
noise transmitted to buildings along the railway lines.

Noise and vibrations generated in the buildings,

brings discomfort to people in them.
When the train speed increases, it results generally
to higher intensity of railway-generated noise and
vibration.

If (for example) the track support is soft19, then the

train speed may exceed the velocity of the waves
in the ground20. This will bring a great increase of
the vibration level, and train speed must be
limited21.
Long wavelength
irregularities Track settlement will induce long wavelength
irregularities of the track both vertically and
laterally which will induce lateral and vertical
movements of the vehicles.

This will bring travelling discomfort for the

passengers.

Short wavelength Short wavelength irregularities will induce

irregularities vibrations and noise.

This will bring travelling discomfort for the

passengers.

18
Mainly heavier and faster trains.
19
The track is built on a layer of clay.
20
Waves with both longitudinal and transverse motion: Rayleigh surface waves.
21
This happened on the Swedish West Cost Line, where the track had to be removed and
the subground strengthened before the trains were allowed to pass at high speed [32].
17.5 Irregularities and Impact Loads Generating Excitation Frequencies 99

Irregularities in the track Irregularities in the track gauge will induce lateral
gauge displacements of the railway vehicles and
influence the horizontal alignment of the track.

This will bring travelling discomfort for the

passengers.
Deficiencies or excesses Deficiencies or excesses in the cant will induce
in the cant lateral forces in curves.

This will bring travelling discomfort for the

passengers.
Rails A rail may not be absolutely straight when it
22 comes from the manufacturer and the railhead top
(either long wavelengths
surface may not be absolutely plane.
or of short wavelength)
Due to the train traffic, short wavelength periodic
irregularities (corrugations) may develop on the
railhead, which generates high-frequency
vibration of the rail and the wheel, and noise is
emitted.

This will bring travelling discomfort for the

Wheel out-of-roundness
(either long wavelengths23
or of short wavelength)
passengers.
Wheel out-of-roundness is one source generating
train and track vibrations.
Especially, short wavelength irregularities often
appear on block-braked wheels.

This will bring travelling discomfort for the

passengers.

Conclusion:
As speed increases, the greater the need for high quality and small
faults
As the requirements for high comfort increase, the greater the need
for residual faults have a large wavelength

22
So-called polygonalisation with one to five wavelengths around the wheel.
23
As above.
100 17 The Wheel-Rail Interface

17.6 Railhead Irregularities

Railhead irregularities appear on almost every kind of railway track. The
development of irregularities on the railhead is explained by the dynamics of the
train track system.

17.6.1 Classification of Railhead Irregularities

The railhead irregularities are divided into three categories24:

Table 14 Classification of Railhead Irregularities

Category Wavelength Amplitude

30 to 80 mm
Corrugation a few hundredths of a mm
(3 to 8 cm)
150 to 300 mm
Short waves up to 1 mm
(15 to 30 cm)
Long waves up to 2 m

Only the longer wavelengths can be explained by the manufacturing process.

17.6.2 Consequences of Rail Corrugation

The rail vibrates out of phase with the corrugations25. All the forces are being
induced into the track because the inertia of the rail is so much less than that of the
wheel.
At certain speeds, sleeper resonances will be excited by the corrugation.
Sleepers may be exposed to fatigue damage due to the cyclic stresses set up in the
sleepers in the resonance situation. Also, rail pads and fastenings may deteriorate
due to the many alternating load cycles. Similar are the effects on the ballast
which causes ballast degradation and track settlement with loss of vertical track
profile.
What makes the corrugation phenomenon especially remarkable is that there
does not seem to be any direct relationship between the train speed and the
corrugation wavelength.
The rail corrugation phenomenon will be discussed in par. 19.3.3.

24
See [40].
25
Clark, R. A., Dean, P. A., Elkins, J. A., and Newton, S. G., An investigation into the
dynamic effects of railway vehicles running on corrugated rails, J. Mech. Eng. Sci., 24,
65 76, 1982.
17.6 Railhead Irregularities 101

17.6.3 Long Wavelength Irregularities

Long wavelength irregularities are defined here as irregularities of wavelengths of
300 mm or longer (see par. 17.5).
These irregularities may be
geometric irregularities on the wheel, or
geometric irregularities in the track, or
irregularities of the track stiffness.

17.6.3.1 Wheel Out-of-Roundness

[32] An out-of-round wheel (Figure 57) will excite the train track structure with
frequencies corresponding to the wavelengths of the wheel out-of-roundness.

Fig. 57 Wheel out-of-roundness

17.6.3.2 Rail Manufacturing

The rail manufacturing process may induce rail irregularities. These irregularities
will induce a low-frequency excitation of the train and the track.

17.6.3.3 Track Stiffness Irregularities

The wheel will be influenced by the varying stiffness of the track due to sleeper
spacing and at switches (turnouts).
102 17 The Wheel-Rail Interface

Sleeper spacing:
The track is stiffer at the sleepers, and softer in-between, so the wheel will be
excited with a frequency f that corresponds to the speed v of the train and the
sleeper spacing (f .

Switches (turnouts)
The track stiffness varies at switches (turnouts) mainly due to ([32])
the different lengths of the sleepers
the different spacings of the sleepers
the loss of symmetry: the left and right rail will have different stiffnesses
(the stock rail keeps the stiffness of the track, whereas the switch rail
becomes stiffer because of the longer sleepers supporting that rail (see
Figure 58 and Figure 59).
The rail bending stiffness (EI) will change dramatically at the frog (diamond or
crossing). Such a sudden change of the stiffness will induce transient and high-
frequency vibrations in the train and in the track. The mass is also larger at the
frog making inertia forces larger.

Fig. 58 A railway switch at the frog area

Fig. 59 The wheel path through the frog (diamond or crossing). The wheel leaves the wing
rail at point (1) and enters the nose at point (2).
17.7 Impact Loads 103

In par. 17.7.3 the impact forces in the switch area are discussed.
Track subgrade
The track superstructure is seldom built on a homogeneous substructure. Due to a
variable stiffness of the track subgrade, the track stiffness will vary along the
track.
As this stiffness is more or less random along the track, it will induce low-
frequency random oscillations of the train.

17.6.3.4 Track Embankment Settlements

When a track is loaded by a train, the ballast and subgrade may undergo
(nonelastic) deformations. After the load has passed, the track will not return
exactly to its original position but to a position very close to the original one. After
thousands and thousands of train passages, all these small non-elastic deformations
will give a new track position, varying in different parts of the track [32].
The track position changes over time. The wavelength of these track
irregularities will have a magnitude of metres up to hundreds of metres, depending
on the subgrade, and will induce low-frequency oscillations of the train.
Gradually, the track load variations will increase and so will the track settlement.
Especially, the transition area from an embankment to a bridge is a place where
track settlements tend to occur (see par. 15.3.4).

17.7 Impact Loads

Distinct single impact loadings of the track could come from wheel flats or other
defects on the wheel tread, rail joints, and switch frog (diamond or crossing)
passages. The impact of discrete track defects is further discussed in Chapter 21.

17.7.1 Wheel Flats

Wheel flats (Figure 60) can occur ([32])
due to problems with the brakes at a wheel (or due to low adhesion),
when a wheel
o does not start to rotate immediately as the train starts or
o the wheel stops rotating before the train comes to a standstill.
In these cases, the wheel slides along the rail for a while. When the wheel slides,
part of the wheel tread is removed and a flat surface is formed.
104 17 The Wheel-Rail Interface

Fig. 60 Wheel flats

Later, when the wheel starts to rotate, an impact load will hit the rail at every
rotation of the wheel. This load will bring high frequency vibrations of the track
and noise emissions. The impact load could lead -especially at low temperatures-
to rail breaks.
The wheel flat causes large dynamic contact forces and stresses also in the
sleeper, as described below.

Effect
The flat area of the wheel
touches the rail
Separation of wheel and
rail
The wheel meets again the
rail
Consequences for the
vehicle and the track
Description
The wheel with a flat rotates and the rail
touches the flat area of the wheel
At speeds more than 20 km/h (depending on
the wheel flat size) the wheel and rail
separate for a while, depending on the speed
of the vehicle and on flat size, and
the contact force reduces to zero.
When the wheel meets again the rail meet
again, a large impact force (P1) is induced
between the wheel and the rail (see par.
12.3.2).
The impact forces can lead to fatigue failure
of the primary suspension of the vehicle as
well as damaging the track components.
17.7 Impact Loads 105

17.7.2 Rail Joints

In the case of welded rail joints, there may be a small difference in the vertical
position of the two rails connected at the joint. The wheel, climbs this difference
in level, and especially at high speed large dynamic forces will arise, due to larger
mass of the wheel than the rail mass (the wheel will press down the rail, and this
will, of course, also create large dynamic forces) [32].
At fishplated joints, or other expansion joints, there could be also a problem of
difference in level.

17.7.3 Switches
A switch contains several irregularities both in stiffness and in inertia; the bending
stiffness of the switch rail differs from that of the stock rail, the sleepers have
different lengths and distances, the frog (the crossing or diamond) is both stiffer
(in bending) and has a larger mass than the surrounding rails, and so on.
When a train runs over a switch, dynamic effects appear. As examined in par.
17.6.3.3, there is a change of track stiffness, due to spacing differences and a
different length of the sleepers [32].
When a wheel passes the switch blade and the frog (see Figure 59), the wheel
will move laterally to find a new equilibrium position, because the wheel rail
contact area will suddenly move laterally on the wheel tread. It induces forces on
the wheel and on the track.
At the frog, where the wheel moves over from the wing rail to the nose rail (or
vice versa) the geometry of the frog and the wheel profile seldom fit exactly to
give a smooth transition. Instead, due to different heights of the wing rail and the
106 17 The Wheel-Rail Interface

Fig. 61 Cast manganese frog (diamond or crossing)

nose, this transition often induces a vertical impact load on the wheel and on
the frog.
Another cause that induces dynamic effects in switches is the sudden change of
rail bending stiffness at the frog.
This change applies especially for cast manganese frogs: one large and very
stiff block where both the wing rails and the nose rail come together. This block is
also extremely heavy and the difference of the masses (block and rails) makes the
wheel rail impact force at the frog (diamond or crossing) even worse.

17.8 Reduction of the Wheel Wear

Wheel wear is the resulting effect of three interacting aspects ([34]):
vehicle dynamics,
contact mechanics and
wheel-rail contact tribology.
To reduce wheel wear we must modify at least one of these aspects.
17.8 Reduction of the Wheel Wear 107

17.8.1 Wheel-Rail Contact Tribology

There are some ways to improve the wheel-rail contact tribology:

Choice
Use of materials with improved wear-
resistance properties.
Use of materials with high wear
resistance properties
Altering the frictional properties of
the wheel-rail interface by the use of
friction modifiers.
Comments
Limited improvement due to the fact
that a relatively small number of
standardised steel grades are allowed
for wheel construction.
Probably high sensitivity to RCF
damage.
See par. 17.8.3

17.8.2 Contact Mechanics

Choice Comments
Use of appropriate wheel profiles for
the reduction of local contact stresses
and hence of wheel wear.
Modification of the running e.g. use of
behaviour of the entire vehicle
a special design for the vehicle, or
improved suspension parameters
or
advanced technologies like
vehicle mechatronics26.
Any means able to reduce wheel wear will have a significant impact on other
fundamental issues related to train-track interaction, especially system
performances, and other damaging effects on the wheel and on the rail. This
explains why an optimal and universal solution to mitigate wear effects cannot be
defined [34].

17.8.3 Use of Friction Modifiers

In curves where unfavourable wheel-rail contact conditions exist, when the flange
contacts the gauge corner (see Figure 46), measures are required to reduce the
probability of wear occurring to both wheel and rails.

26
Mechatronics is the combination of Mechanical engineering, Electronic engineering,
Computer engineering, Software engineering, Control engineering, and Systems Design
engineering in order to design, and manufacture useful products.
108 17 The Wheel-Rail Interface

Rail friction control is being increasingly used to provide this wear mitigation
as well as minimise curve noise, lateral forces and corrugations. Application of
friction modifiers (FMs), which are basically a composite of inorganic and
polymeric materials (in liquid or solid form), provides a thin dry film which, in
combination with naturally occurring third body components (primarily iron
oxides), gives an intermediate coefficient of friction (about 0,35 [34]). This
friction level minimises lateral forces and wear without compromising braking or
traction.

17.8.4 Wear-Resistant Wheel Profiles

The contact stresses can be reduced, if for the same contact force, the size of the
contact area can be increased, which leads to produce a reduction of the overall
wear effect [34].
This consideration has led to the design of the so-called conformal or wear-
like wheel profiles whose shape is designed to achieve conformal contact with
the rail, thereby increasing the size of the contact region [34].
Some wheel profiles may present two-point contact with the rail. This increases
the wear rate, due to the large longitudinal slippages that are generated by the
rolling radius difference between the two points of contact. Therefore, a second
way to improve wear resistance is to design the wheel profile so that the formation
of two-point contact is avoided.
The design of wear-resistant wheel profiles needs to consider that the shape of
the profile will change with the progress of wear. Using wear prediction models it
can be ensured that the wheel profile will preserve good wear resistance properties
across the entire life before re-profiling (see [34]).

17.8.5 Vehicle Design

A possibility to reduce wheel wear effects is to design the vehicle so as to reduce
as much as possible creep forces arising in curves. This in turn can be gained by
controlling the angle of attack of the wheel sets (the rotation of the axle with
respect to the radial direction in the curve) [34].
Two means can be used to reduce the angle of attack of the wheel sets in curve
and hence wear effects associated with curving27:
Decrease of the stiffness of the primary suspension and/or
shortening the bogie wheelbase28 (it is characterized by articulated
bogies).
The decrease of primary suspension stiffness and of bogie wheelbase both have a
negative impact on vehicle stability, since the wheel-set joining effect provided
by the bogie is lowered. Therefore, the mechanical design of the railway bogie
can be viewed as the research of a trade-off between stability and curving

27
With the exception of active vehicle control (see par. 17.8.6).
28
The wheelbase is the distance between the front-most and rear-most wheel sets.
17.8 Reduction of the Wheel Wear 109

requirements. The optimal solution depends on the type of vehicle considered

(high-speed, conventional rail, freight transport) and on the service profile
specified for the vehicle.
The problem of defining optimal values for bogie parameters can be set in the
form of a constrained optimisation problem, in which wear resistance is optimised
under the constraint of the vehicle ensuring a required region of stable running
[34].
Articulated bogies have a special design in which mechanical links introduce
additional degrees of freedom to favour the radial alignment of the wheel sets in
curve. Wheel set movements that do not have a role in the curving are constrained
to avoid compromising too much vehicle stability.
Articulated bogies are associated with decrease of the critical speed. So, for
passenger trains the use of articulated bogies is less attractive. In the case of
freight trains the use of articulated bogies provides significant wear reduction.

17.8.6 Active Control of Vehicle Dynamics

The primary suspension design for a railway vehicle imposes a trade-off between
curving and stability.
In recent years, there have been proposals to use active suspensions to improve
vehicle dynamics, allowing not only an increase in vehicle running performances,
but also a reduction in the aggressiveness of the vehicle with respect to the
infrastructure and to the vehicle itself. Although these proposals for a
mechatronic train 29 are still confined to the research field and have not yet
found applications, the subject surely deserves a brief examination to underline the
possible impact of new technologies in the mid-term future.
The different implementations to actively control the dynamics of a railway
vehicle can be grouped into the following categories [34]:
active primary suspension. In this concept, the passive primary
suspension is replaced in part or entirely by an actuation system able to
apply control forces on the axles. Active control can be used to improve
stability, curving and/or to provide guidance.
independently driven wheels. The control action is represented by
independent traction/braking torques applied to the two wheels of the
axle, providing guidance and improving curving performances.
active secondary suspension. This concept is based on applying a
yaw torque on the bogie, rather than on the axles, which can be used to
improve stability and/or curving performances.
active wheel steering. In this concept the wheels of the railway
vehicle are independently rotated and steered by actuators to provide
stability and guidance.

29
Mechatronics is the combination of Mechanical engineering, Electronic engineering,
Computer engineering, Software engineering, Control engineering, and Systems Design
engineering in order to design, and manufacture useful products, see par. 17.8.2.
110 17 The Wheel-Rail Interface

17.9 Maintenance of the Wheel-Rail Interface

(base reference: [34])

Fig. 62 Hatfield derailment30

17.9.1 Introduction
Maintenance of the wheel-rail interface aims to
(1) improve safety (avoidance, detection and/or treatment of cracks (at the
rail surface or internally) that could lead to a rail break).
(2) reduce costs (improvement of wheel and rail profiles, both longitudinally
and transversely).
The two fundamental components of maintenance of the wheel-rail interface are
control of friction and control of the wheel and rail profiles.
A well-maintained railway is also one that operates more economically. The
consequence of one example of inadequate rail maintenance on a mixed passenger
railway is the case of the derailment of a passenger train at Hatfield in England in
October 2000 (Figure 62). This is one of the best-known examples of catastrophic
failure as a result of inadequate maintenance.

17.9.2 The Importance of Friction

Friction is the resistance (force) offered to the movement of one body past another
body with which it is in contact (wheel on rail). Without friction the wheels of a

30
On 17 October 2000 four people were killed and 70 injured as a result of a derailment
near Hatfield.
17.9 Maintenance of the Wheel-Rail Interface 111

locomotive could not "grip" the rails. For a locomotive a minimum of friction is
desired; Lubrication is important in minimizing friction.
The running wheel induces on the wheel-rail contact a tangential force. The
coefficient of friction limits this tangential force. If the coefficient is too low, this
limits the traction and (more importantly) braking rates of a vehicle. A low
coefficient also limits the tangential force in curving.
It is important to have a sufficient high coefficient of friction. In many
countries during autumn, when leaves fall on the rails, the coefficient of friction is
reduced to levels of 0,1, hence provoking disturbances in the train operation. On
the other side an excess of friction can cause most types of surface damage of rails
and wheels, due to the fact that an excess of friction produces heat.
Traction ratios of greater than about 0,4 promote surface damage of wheels and
rails, and the coefficient of friction should accordingly be less than this level [34].
Acceleration and braking require an appropriate level of friction (usually a
coefficient of friction of no more than 0,2). A certain level of friction is also
required to sustain the tangential forces that are required for vehicle stability.
Reducing wheel-rail friction can lead to a bogie sliding around the curve.
On sharp curves, some sliding between wheel and rail is almost unavoidable. In
order to reduce wear and, accordingly, maintenance, lubrication should be applied
to one or both of the sliding surfaces.

17.9.3 Techniques to Maintain the Rail Profile

17.9.3.1 Rail Grinding

One of the important aspects in wheel/rail interface management is the

introduction of rail grinding [52]. Rail grinding has been used since the 1980s in
maintaining optimal rail profile as well as the elimination of surface defects such
as corrugations and head-checks.
The rail grinding process has progressed from a technique for removing
corrugations to a high-tech multi-purpose maintenance technique. Rail profile
correction, noise reduction and removal of contact fatigue induced head-checks
are some of the main reasons for grinding the rails.

17.9.3.2 Grinding Modes

There are three different types of grinding modes when grinding is used to correct
rail surface conditions [52]:
Preparative: cleaning mill scale and construction damage from newly-laid
rail to assure optimal initial conditions for commercial service
Preventive: removing fatigued metal before micro-cracking leads to more
serious damage
Curative/corrective: recovering rail that has been damaged by ballast
imprints or other foreign bodies pressed into wheels etc.
112 17 The Wheel-Rail Interface

By adopting preventive grinding, a surface free of cracks with fresh, work-

hardened material is left behind, the overall volume of removed material can be
reduced and rail life prolonged. The preventive grinding mode has the advantage
to be well planned as rail breaks will not be as frequent as before. Another
advantage with preventive grinding is that it requires machines with fewer
grinding stones as less material is to be removed. The cost for the grinder can
therefore be reduced. A preventive grinding strategy could increase the rail life by
up to three times compared to that of a corrective ground rail [52].
A corrective grinding mode removes the work-hardened layer leaving behind a
surface with soft steel and with some residual cracks still present due to the fact
that the deepest cracks could not be removed.

17.9.3.3 Wheels

Safety is the most important reason for maintaining the transverse wheel profile.
Thin flange is a safety- critical criterion.
A second safety-critical criterion that dictates the need for wheel maintenance
is flange height. If the tread wears sufficiently, thereby essentially increasing the
flange height, the flange can eventually interfere with trackwork such as joint bars.
This condition must clearly be avoided, which leads to a limit on flange height of
about 36,5 mm for common wheel profiles [52].
Section IV: The Track Degradation

In this section track deterioration mechanisms are discussed, which lead to a

degradation of the track, and also the factors influencing the durability of the track
geometry. Recommendations and good practices for preventing track degradation
are also given.
18 The Mechanism of Track Faults Creation

Key terms:
Deterioration, degradation, dynamic effects, rail damage mechanism,
rolling contact fatigue (RC), rail corrugation, deterioration of sleepers and
fastenings, ballast degradation, subgrade degradation, ballast pockets, soft
track, irregularities-inhomogenities, hollows (voids) under the sleepers,
track settlements, track defects as cause of track deterioration, drainage,
deterioration model,

18.1 Deterioration Processes in Brief

Deterioration or degradation is the reduction of the original quality due to various
influences.
By far the most significant factor contributing to the deterioration is the
dynamic load. The dynamic load is directly related to the axle load and track
geometry.
The main processes of track deterioration are

wear,
fatigue and
settlement.
The mechanism of the track faults creation can be presented briefly and simplified
as follows (Figure 63):

Track irregularities (track geometry or running surface) lead to

increase of the dynamic forces, which accelerates the rail wear. Through
the fasteners , the consequences are transferred to the sleepers and
the ballast and finally to the substructure .

Fig. 63 Degradation process of railways infrastructure

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 115120.
DOI: 10.1007/978-3-642-36051-0_18 Springer-Verlag Berlin Heidelberg 2013
116 18 The Mechanism of Track Faults Creation

As a consequence, fine material from the substructure goes up to the

ballast.
The existence or entrance of water to the ballast bed accelerates the
deterioration procedure of the track.

18.2 Factors Influencing the Railways Infrastructure

Deterioration
Three main groups of factors may be distinguished that contribute to the
deterioration of railway infrastructure:
Use: wear by physical contact, static and dynamic load
Environment: climatic influence, water
Failures: faulty components, bad construction
In most of the cases it is not just one of these factors that causes deterioration, but
a combination of them.
The bad state or quality of track components contributes significantly to the
deterioration of the track geometry. Bad track geometry produces higher dynamic
loads on the track components, which accelerates their degradation.
The degradation curve of a generic railways track component is shown by the
figure below.

Fig. 64 Degradation processes of railways infrastructure with a load-dependent wearing

The life of such components can be divided into three distinctive parts:
the youth period: During the youth, the component experiences
substantial deterioration due to track settlements.
the intermediate life: After a while, the importance of degradations
diminishes and the component starts its intermediate life.
18.3 Parameters Affecting Track Deterioration 117

the old age period: When reaching the end of its lifetime, the component
undergoes higher degradations.
Each period of a component life may be linked to a specific type of maintenance
action:

Preventive maintenance: Just after the construction or a complete

renewal, preventive works are executed to eliminate any defects resulting
from bad construction, faulty material etc. This type of work is intended
to avoid any premature degradation of the infrastructure.
Corrective maintenance: Later in the infrastructure lifetime, periodical
works are executed to restore the infrastructure to a predefined quality
level. Referring to the track as the main component of railway
infrastructure, this work type includes corrections of geometry, partly
exchange of used or faulty material. This work aims to assure the safety
of train operations and to slow down the deterioration process of the
track.
Substitution or renewal: At a certain moment these periodical works are
no longer applicable, due to either technical limitations or economic
reasons. The component has to be partly or completely substituted, if the
track no longer fulfils the quality level or requires extremely high
maintenance expenses to achieve the quality level.

Track maintenance is discussed in Chapter 32.

18.3 Parameters Affecting Track Deterioration

18.3.1 Driving Forces of Deterioration

In some cases, the track can deteriorate without any traffic (e.g. the soil may settle
due to the weight of the embankment, especially in the early years after
construction). In most cases running trains is the driving force of deterioration.
A railway track is designed to distribute the loads from trains down to the
soil/ground (par. 13.1.3). This distribution through super- and substructure
depends on original track design and current track condition. Stiffness of different
components in the track structure, as well as the resulting (global) track stiffness
will partly determine how the loads are distributed (see Chapter 16).
The static, quasi-static and dynamic forces are all important for track
degradation. Some aspects determining forces and thereby influence degradation
are listed in the following table [47].
118 18 The Mechanism of Track Faults Creatioon

Table 15 Parameters influencing track degradation

Influence of the
Subsystem Characteristics
Subsystem
Vehicle speed,
axle load,
static,
unsprung mass,
quasi-static and
suspension,
dynamic forces
wheel profile,
axle spacings etc.
Wheel
(current condition such
dynamic forces
as wheel flats and wheel
corrugation)
Track static and
Track design geometry
(curves etc.) quasi-static forces
Track geometry quality dynamic forces
high-frequency
Corrugation31
forces
Rail imperfections such
impact forces
as joints or poor welds

18.3.2 Dynamic Efffects

Traffic on rail lines usuaally comprises many different vehicle types: high speeed
and conventional passeng ger trains and also freight trains.

Conse-
Mainte-
Stresses quences Results
nance
(defects)

F 65 The track degradation chain

Fig.

31
Often called rail roughness.
18.3 Parameters Affecting Track Deterioration 119

Track is therefore subject to a wide range of bearing and bending stresses in

the rails, pads, fasteners, sleepers, ballast and subgrade.
These stresses come about [1]
the static mass of a vehicle, its wheel sets and the cargo (freight or
passenger),
dynamic actions such as
o lateral centrifugal forces on curves,
o longitudinal acceleration and braking forces,
o rocking of the vehicle about 3 axes (roll, pitch and yaw) (Figure 66),
o vertical inertial forces from the motion of the wheel set and its
suspension,
o vibrational forces induced from imperfections in the rail surface
(corrugations, joints, welds, defects) and in the wheels (flats and
shells)
o dynamic response of the track components to these actions.

Fig. 66 Rocking of the vehicle about 3 axes (roll, pitch and yaw)

The consequences of the frequently large forces generated by these actions are
many and wide-ranging:
Fatigue cracking in rails,
plastic flow or shelling out of the rail head,
uneven wear of the rail head,
cracking or splitting of sleepers,
loosening of fasteners,
120 18 The Mechanism of Track Faults Creation

ballast damage, and

variations in track alignments and gauge.
Such effects result in
poor riding quality,
reduced train speed,
increased fuel consumption,
potential derailment,
increased maintenance,
delays and reduced level of service
loss of revenue in the longer term.
The key to reducing track maintenance demands are the dynamic forces and
stresses. Main maintenance actions are:
rail grinding (to reduce corrugations, and reform the worn rail head to a
the correct shape) and
ballast tamping (to re-establish track geometry in order to reduce the
vehicle motions and consequent forces on the track).
Also, dynamics of vehicle/track interaction cause noise and vibration which have
become issues of environmental concern. Minimisation of high (noise) and low
frequency (disturbance of surrounding structures) force vibrations therefore has
engineering, financial and societal benefits.

18.3.3 Train Speeds and Axle Loads

[1] Axle load and train speed are the two main factors controlling wheel/rail
impact forces:
Increasing the speed of trains has many effects on rail and track
behaviour and degradation.
Axle loads affect rail head wear, fatigue of the rail steel, and plastic flow
and shelling in the running surface between wheel and rail head. Greater
axle loads lead to increased wheel wear and higher bending stresses in
rails and sleepers, as well as higher bearing stresses in ballast and
subgrade.
 oration of the Track Componentss
19 The Deterio

19.1 Introduction
The track is composed of several components as presented in previous paragraphhs.
Each component has a specific function. The track experiences verticaal,
nal forces, as described in Chapter 12.
horizontal, and longitudin
These forces influence the functions of the basic components in the track whicch
in turn affect degradation
n and the failure process. The failure of each componennt
has an effect on the functiion of other components in the track system (Figure 67).

Degra-
dation
process

Track
compo-
nents

Forces

Fig. 67 Interaacting parameters in the track degradation process

In order to be able to measure the defects and failures and to prevennt

catastrophic failures, it iis important to analyse the characteristics of the eacch
component which are sign nificant for the deterioration process.
The deterioration pro ocess of the different superstructure components is
described below:

Track component Deterioration process

The rails he rail experience wear and fatigue.
Th
Raail deterioration is often a complicated relation between

K. Tzanakakis: The Railway Tra

ack and Its Long Term Behaviour, STTT 2, pp. 121145.
DOI: 10.1007/978-3-642-36051-0_19 Springer-Verlag Berlin Heidelberg 2013
122 19 The Deterioration of the Track Components

Track component Deterioration process

vehicle characteristics,
creepage in the wheel-rail contact and
other factors.
Deterioration by Rolling Contact Fatigue (RCF) is in
many cases significant and also safety-related (RCF
initiates cracks that will grow by time and traffic, what
can lead to a rail break).
The fastener, rail The fastener, rail pads and sleepers have all their own
pads, sleepers deterioration processes, which are dependent of the
forces, bending moments etc. acting on them.
The ballast and Due to stone reorientation the ballast and sub-ballast
sub-ballast layers get differential settlement. This leads to wear of
the ballast stones.
Fines produced by this wear together with possible
other material (ballast fouling), are causing decreased
drainage conditions.
The subgrade may be exposed to settlement. Varying
settlement along the track (resulting in differential
settlements), are directly visible as track geometry quality
variations.

19.2 Deterioration of Rails

Rail is mainly affected by surface defects due to the interaction between wheel
and rail under various operation conditions. Rail deterioration will result in a
rougher rail surface and increases in dynamic forces of high frequencies [47].
Wear is the result of the wheel/rail interaction and reduces rail life. Wear is
affected by factors, as
axle load,
traffic density and speed,
wheel and rail profile,
material properties and hardness,
curvature and superelevation
grinding practice,
lubrication and
rail condition.
A further analysis is given below.
Main categories of rail defects are:
(1) Abrasive wear is loss of metal from the side of the rail head by abrasion
which occurs mostly in curves (due to contact between the side of the
flange of a wheel and the gauge face of the rail) (Figure 45 in Chapter 17).
19.2 Deterioration of Rails 123

(2) Plastic flow or deformation in rails occurs mostly due to heavy axle
load pressure on the rail (the metal of the rail in the wheel and rail
contact area become plastic and the material is forced out sideways).
On straight track, the longitudinal forces between the wheel and the
rail cause the surface metal to flow along the rail.
In sharp curves, the combination of the contact stress and tangential
forces between the wheel and the rail cause the metal to flow sideways
on the surface of the rail head.
(3) Rail corrugation is actually a type of plastic flow. It influences comfort,
noise, loading and fatigue. When the wheel passes over a corrugated rail
head32, the interaction between wheel and rail produces a very high noise
level, as well as very high frequency vibrations of the rail. These lead to
large dynamic wheel-rail contact forces and can damage the fastenings,
Rail pads and sleepers.
(4) Rail fatigue cracking is caused mainly by a variety of stress
concentration due to corrosion and mechanical damage, because of
defects in rails from the manufacturing process and welds due to the
passage of traffic.
(5) Rail creep occurs when the rail move longitudinally through the
fastenings due to traction and braking forces and cause geometry
deviations: the rails move up in some sections causing in summer a risk
of rail buckling.

The UIC Leaflet 712 [82] harmonizes the methods used for identifying, notifying
and classifying rail defects. It includes:

a definition of rail defects,

a definition of the recommendations,
a definition of the location of the defects,
the general coding system for rail defects.
For each type of broken, cracked or damaged rail there is a page giving one or
more photographs of the defect in question and an explanatory text detailing, for
each defect:

its characteristics and appearance,

means of detection,
recommendations of a general nature that each railway can adapt to its
own specific requirements.
An in-depth analysis of the factors influencing rail degradation is given in [90].
The identified factors responsible for rail degradation are illustrated using a cause
and effect diagram (Figure 68).

32
Particularly short wave corrugations.
124 19 The Deterioration of the Track Components

Fig. 68 Cause and effect diagram for the factors influencing rail degradation [90]

19.3 The Rail Damage Mechanism

(base reference: [89])

19.3.1 Crack Development Process

The crack development process consists of three phases:
crack initiation,
crack propagation and
rail break

Crack initiation When the wheel passes over a rail section, the axial load
continues to increase and decrease cyclically. This process
continues for a certain number of cycles until plastic deformation
begins, usually at a relatively weak location. These deformations
take place as a result of compressive and shear forces.
This process goes on for a few cycles until a micro-crack is
formed in the rail surface. These micro-cracks develop into
cracks when stress is repeatedly applied (micro-cracks may not
always develop into cracks).
Once a crack is initiated, stress concentration occurs at both
ends of the crack causing it to continue to grow. Cracks initiate
in a very thin surface layer of the rail and develop inside the
rail head.
Crack The crack propagation depends on the rail material, the point of
propagation crack initiation and the kind of metallurgical processing or the
19.3 The Rail Damage Mechanism 125

heat treatment method adopted for that particular rail section. If

the crack propagation is in an upward direction towards the rail
surface, pieces of rail material detach from the rail surface, but if
these cracks propagate downwards, they may cause a rail break.
Crack propagation rate is accelerated by fluid entrapment.
The presence of water, snow or lubricant on the rails may
increase the crack propagation rate. When these small head
checks are filled with water or lubricants they do not dry up
easily. During wheel-rail contact, these liquids get trapped in
the crack cavities and build up very high localized pressure,
which may even be greater than the compressive stress. If head
checks (see par. 19.3.2.3) are in the direction of train traffic,
crack growth takes place due to liquid entrapment, but when
head checks are in the opposite direction of train traffic, the
liquid is forced out before its entrapment.
Rail break Rail break is the final result of the crack development process.
The first two phases of crack development are critical for
railway engineers, as it is during this phase that the crack
should be detected by the inspection techniques and
consequently rectified by the suitable implementation of
maintenance or replacement measures.

Fig. 69 Broken Rails

126 19 The Deterioration of the Track Components

Fig. 70 A vehicle passing a broken rail

19.3.2 Main Rail Problems from Rolling Contact Fatigue (RCF)

19.3.2.1 Causes of RCF
Figure 71 below illustrates the inter-relationship of rolling contact fatigue for both
wheel and rail.

Fig. 71 Explanation of rolling contact fatigue (RCF) ([24][24.3])

19.3 The Rail Damage Mechanism 127

The figure illustrates the large shear plastic deformation developed at, and close
to, the surface of the material in the contact patch. Cracks will initiate due
exhaustion of the ductile of the material in this region under the repeated
combined application of surface shear forces and high compressive loads33.
The orientation of the cracks on the surface will be at right angles to the
direction of the resultant (of longitudinal and lateral) creep force. Cracks therefore
initiate as a result of the accumulation of strain energy in the material from the
forces generated at the wheel/rail interface. These forces are generated in both the
vertical and shear (longitudinal and lateral) directions and arise due to the steering
behaviour of the vehicles wheel sets.
The most typical defects due to RCF are squats and head checks.
For minimum actions see [24][24.7].

Fig. 72 Squats

19.3.2.2 Squats
Squats are a form of rolling contact fatigue (RCF) that appears as a discrete defect.
Squats can be observed visually during track walking or ultrasonic equipped trains
can find their location. In most cases after discovery, they will then be inspected
manually using ultrasound by trained personnel.
The characteristics of squats, according to UIC Leaflet 712R [7] (defect type
227) are: Squats is visible on the rail head as widening and a localised depression
of contact surface, accompanied by dark spot containing cracks with circular arc
of V shape. The cracks propagate inside the rail head, at first at a shallow angle to
the surface. Then when they reach 3 5 mm depth, they propagate downward
transversely.
Squat occurrence can be related to track short wave irregularities, especially on
the rail top such as indentations, weld and corrugations. Material strength, un-
sprung mass, traction and braking, sleeper spacing and fastening system properties
also play important roles.
33
This process is known as ratchetting.
128 19 The Deterioration of the Track Components

The postulated squats growth process is described in [24][24.5].

19.3.2.3 Head Checks

Head checks are a form of Rolling Contact Fatigue that appears on rail as a series
of cracks along the running band inclined to the gauge corner, Figure 73.

Fig. 73 Head Checks

Head checks are initially found by visual inspection or by eddy current systems
mounted on trains. Once found a follow up investigation is carried out by manual
ultrasonic and/or eddy current inspection.
The planning of train based grinding is based on the depth of cracks found. In
all cases after the cracks have extended a certain distance grinding is no longer
permissible and rail replacement is the only option.

19.3.3 Rail Corrugations

19.3.3.1 Causes for Rail Corrugations

Rail corrugation is a surface defect of the rail, which is manifested as periodic

wear. If the defect is not removed, the corrugation may lead to high levels of
wheel / rail noise and crack initiation. There are many different types of
corrugation, some of which are well understood; but the causes and consequent
solutions are poorly understood for corrugations in sharp curves, where
corrugation is exhibited on the low rail [24][24.3].

19.3.3.2 Potential Mechanisms

The mechanism of corrugation can always be defined as the result of both

dynamic and structural factors: for corrugation to occur a wavelength fixing
mechanism and damage mechanism is required [24][24.3].
19.3 The Rail Damage Mechanism 129

The cause of the periodicity will be a function of track geometry and mechanical
characteristics, axle mode, curving behaviour of bogie and vehicle speed. It is also
expected that tangential forces and creep will contribute to the damage.
Studies ([91][92]) have looked at Rail pad softness and found that softer Rail
pads remove at least one of the corrugation formation wavelengths. Soft pads
decouple the rail from the dynamic behaviours below the rail pad, e.g. the
transmission of sleeper resonances back to the rail head.

19.3.3.3 Current Solutions

Current practice consists predominantly of using lubrication and friction

management and also grinding regimes as corrective action by removing existing
corrugations, and preventive action by removing other defects that may trigger
dynamic loads and restoring optimum wheel rail contact condition. Harder steel
rails may be used on curves to also reduce wear [24][24.3].

19.3.3.3.1 Lubrication and Friction Management

Lubrication is used on curved tracks to reduce the friction and wear that occurs
between the wheel flange and the gauge side of the rail (Figure 46, see also par.
17.4). Lubrication slows the initiation of surface and contact fatigue cracks but has
adverse effect on crack propagation.
The coefficient of friction between wheel and rail varies in track between a
minimum of almost 0 and a maximum of up to 0,8 ([24][24.8]). It is widely
accepted that the ideal coefficient of friction in the contact area between wheel
and rail on the running surface should be between 0,30 and 0,35, whereas the
respective value at the flange / gauge corner contact should be a minimum.
Providing consistently such desirable friction values would result in reduced
abrasive wear, reduced development of RCF and short wave corrugation in curves
as well as improved steering performance of vehicles, energy savings (e.g. a 5%
reduction is reported from heavy haul railways in North America) and reduced
noise levels. The positive effects might differ depending on the type of traffic
(heavy haul, mixed traffic, light rail).
Lubricants were developed initially to reduce the coefficient of friction at the
flange / gauge corner to a minimum. These substances are either applied locally in
track with stationary equipment (greasing the gauge face of high rails in curves) or
using vehicle based equipment. Gauge face lubrication of high rails in tighter
curves has become a widely used maintenance activity and can be classified as
state of-the-art.
Rail mounted lubricators are currently used for the following reasons:
To reduce the rate of gauge face wear of rails.
To reduce the traction coefficient and limit the initiation of RCF, in
particular gauge corner cracking.
To help prevent incidence of insulated block joint failure by reducing the
risk of metal particle inclusion (insulation break down).
To reduce the risk of potential derailment due to the combination of dry
gauge face/wheel flanges causing high friction and flange climb derailment.
130 19 The Deterioration of the Track Components

Lubricators shall be fitted at all possible locations where high lateral forces
between wheel and rail are known or observed to exist (using the rail wear pattern
as a guide)34. Such sites would meet the criteria below:
All curves exhibiting or having had a history of excessive gauge face
wear;
All curves with a history of RCF;
All curves with a radius of less than 1500 metres;
Cant deficiency greater than 50 mm;
All curves with continuous check rails installed due to curvature should
also be lubricated for reducing noise and wear.
Lubrication is generally influenced by many factors including wheel and rail
profile, surface conditions of the wheel and rail, track geometry, the viscosity and
lubricity of the grease, operating temperatures of the wheel and rail, and finally
environmental factors such as temperature and precipitation.
Common lubrication methods are:
Wayside lubrication (Figure 74)
Locomotive flange lubrication (Figure 75)
Hi-rail (high rail) based lubrication

Fig. 74 Wayside lubrication Fig. 75 Locomotive flange lubrication

Proper lubrication can reduce rail/wheel wear rates about 10-15 times in 300-
400 meters curve radius and 2-5 times in 600 meter curve radius leading to
significant cost savings for both the Infrastructure Manager and the Rolling Stock
owner.

19.3.3.4 Rail Grinding

RCF can be effectively controlled when the shape of the rail head profile matches
the prevailing wheel profiles and when the fatigued rail surface is regularly
removed in appropriate intervals.

34
Network Rail Company Standards.
19.4 Deterioration of Sleepers and Fastenings 131

As a rule grinding should always be carried out as soon as possible after

rerailing in order to introduce or optimise the target profile (wheeladapted or anti
head-check (AHC) profiles). In order to assure a long rail service life and
consequently low LCC the consecutive grinding cycles need to be programmed
from the beginning [24][24.9].

19.4 Deterioration of Sleepers and Fastenings

The sleeper and fastening deterioration depends on traffic and operational
factors such as axle loads, speeds, accumulative tonnage and maintenance
practices.
Concrete sleepers deterioration composes
sleeper cracking,
loosening of fastenings when support of the sleeper is inadequate and
abrasion of the soffit35 due to excessive movement of sleepers or bad
ballast conditions.
A vital factor for the fastenings in track to function successfully is the condition of
the sleepers. Deterioration of fastenings such as loose, broken or missing fasteners
influences other track components. Also track geometry irregularities arise and
other deterioration modes become apparent on track components.

19.5 Ballast Degradation

19.5.1 Overview
The ballast bed consists mainly of the skeletal grain (Figure 76) and -depending
on the operating load and track conditions- distance grain and the filling grain
(Figure 77, Figure 78).

Fig. 76 Clean new ballast (skeletal grains)

35
The underside or base of sleeper.
132 19 The Deterioration of the Track Components

A newly produced ballast bed consists almost entirely of the skeletal grain. Due
to the operating loads from the trains, the edges of the new ballast will be highly
stressed.
The rolling of the wheel on the rail causes just before reaching the sleeper a
slight lifting and then by rolling over the sleeper a hammering of the sleeper to the
ballast. This leads to crumbling (splintering) of the ballast grains at the contact
points (Figure 77). This continues until the contact areas are so numerous, that the
loads can be transferred through the gravel to the sub-ballast and the subgrade.

Fig. 77 Ballast after operating loads (skeletal and distance grains)

Fig. 78 Dirty ballast

The distance grain (Figure 77), improves the shear strength. Over time,
however, the proportion of grain distance, forming an additional finer material, the
filling grain that after an operating load of several million cycles encloses the
skeletal grains (Figure 78). Thus, the internal friction angle of the material is
19.5 Ballast Degradation 133

going to be smaller, the shear strength is reduced and so the carrying capacity.
Filling grain can also enter into the ballast bed by rising grains from fine-loamy or
clayey subsoil.
Ballast is the main reason of settlement of railway track. Constant settlement
along the track does not affect track deterioration. Irregular or differential ballast
settlement is one of the reasons for track degradation (Chapter 20).

Fig. 79 Dirty ballast at ballast depot

Fig. 80 Unsuitable ballast in track

134 19 The Deterioration of the Track Components

Fig. 81 Vegetation in a track with unsuitable ballast

19.6 Subgrade Degradation

The subgrade is another very important component of the track and its stiffness
has a significant influence on other track components' performance.
Subgrade defects are closely related to track surface irregularities. Possible
defects which are not the direct result of traffic such as clay holes, localised
weakness, cut slope erosion due to blocked drainage (Chapter 23), and short
shoulder due to end of culvert failure, are difficult to predict.
Traffic related failure modes are generally predictable. They include:
massive shear failure or through track slide;
progressive shear failure: shoulder slide and track squeeze; and
attrition.

19.6.1 Subgrade Failure Modes

Subgrade degradation is mainly due to three factors:
Repeated traffic loading (affects subgrade stiffness)
weight of trains and
environmental factors including fine grained soils and high moisture.
19.6 Subgrade Degradation 135

Subgrade degradation occurs in the presence of water. Water at the interface of

ballast and subgrade leads to the formation of slum. Due to the cyclic loading by
trains, the slum migrates into the ballast which becomes highly fouled. The slurry
can block the drainage system, which enhances the subgrade bed weakening.
Figure 82 shows a few factors that contribute to subgrade deterioration:
repeated dynamic loading,
excessive moisture and
fine grain or poor quality soil.

Fig. 82 Subgrade deterioration factors

19.6.2 Ballast Pockets Associated with Common Subgrade

Failure Modes
A ballast pocket develops when a depression develops in the top formation or
subgrade below the tracks.
Figure 83 and Figure 84 illustrate ballast pocket formation as a result of the
vertical component of progressive shear deformation. Often this type of failure
contributes to the development of non-uniform track settlement and undesirable
track geometry changes.

Water trapped in a ballast pocket is a major contributor to many soft

track36 situations.

Fig. 83 A typical cross section of a track (without ballast pocket formation)

36
See par. 19.6.3
136 19 The Deterioration of the Track Components

In Figure 84 and Figure 85 there are typical sections showing progressive

failure of the subgrade as a result of ballast pockets.
In Figure 84 the water is trapped in the ballast pockets, the ground begins to
move sideward (in the figures the sub-ballast isnt shown, although similar
phenomenon will occur).

Fig. 84 Ballast pocket development: water trapped in depressions under rail (after [87])

When this phenomenon develops, a subgrade failure can occur (bearing failure
with shear displacement). The track is water saturated.

Fig. 85 Bearing failure (with shear displacement). Water saturated track structure (after
[87])

Fig. 86 Subgrade squeeze, minimal subgrade deformation (after [87])

19.6.3 Contributors to Soft Track

Several different types of failure are commonly referred to as soft track. These
include [86]:
Ballast failure and pumping track
Sub-ballast failure
Shallow subgrade failures (sometimes caused track squeezes)
Rigid layer pumping problems (sometimes called mud pumping)
19.6 Subgrade Degradation 137

Embankment failure
Larger ground failure (landslide)
While all of the above can produce cross-level and vertical and horizontal
alignment defects, they often have different causes and different treatments.
Considerable experience is required to differentiate between these different failure
types and to select an appropriate remedial measure to correct the problem. No
single remedy has been identified to correct all of these problems; but since most
of these failure modes involve water, drainage improvement is almost always part
of the remedy. In some situations ballast undercutting or shoulder cleaning may be
best. However, it is important to recognize that ballast undercutting and shoulder
cleaning also improve track drainage.

Fig. 87 Soft track [86]

Factors that commonly contribute to subgrade related soft track conditions

include ([86] and Chapter 23):

Table 16 Contributors to Soft Track

Water Rainfall
Water in ballast pockets
Water in ballast
Water between rigid slabs
and underlying subgrade
soils
Water in embankment soils
and cracks in embankments
High groundwater and
springs
Embankment erosion
138 19 The Deterioration of the Track Components

Table 16 (continued)

Weak subgrade Clay subgrade

soils Silt subgrade
Saturated or wet soils
Progressive shear failure
(and build up of ballast
pockets)
Overstressed Insufficient ballast and top
subgrade soil formation thickness
Progressive shear failure
(and build up of ballast
pockets)
Increased train loadings
Too high or too steep
embankment
Poor Inadequate foundation Constructing new fill
Construction preparation over topsoil
Practices Constructing new fill
over wet, weak, or
soft ground
Not benching into
existing ground prior
to placing fill
Inadequate compaction or Use of oversized
moisture conditioning of rock
fill Use of moisture-
Fills constructed too steep sensitive soils
Inadequate drainage
systems
Use of wrong type of fill
Poor Inadequate cess drain and
Maintenance culvert maintenance
Practices Over-steeping of
embankments (by
excessive track raising or
widening of tops of fills)
Placing fill on slopes
Undercutting of slopes
Fouled ballast

The other types of subgrade failures are subgrade attrition with mud pumping
caused by high moisture content and repeated loading at the ballast and subgrade
interface leading to ballast fouling and associated drainage problems, slope
stability failures and excessive consolidation settlement due to self-weight.
19.6 Subgrade Degradation 139

The most commonly used remedial measure, is to increase the ballast thickness
to reduce subgrade stresses. However, this method of remediation in association
with excessive plastic deformation can also lead to formation of ballast pockets.
This remedial measure appear to provide only a short term solution by only
treating the symptoms of the problems rather than analysing its root cause for
longer term eradication.
Table 17 presents the major subgrade problems, causes and features.

Table 17 Major subgrade problems causes and features (after [88])

Type Causes Features

1. Progressive shear Repeated over Squeezing of subgrade
failure stressing subgrade into ballast shoulder
Fine-grained soils Heaves in crib and/or
High water content shoulder
Depression under sleepers
trapping water
2. Excessive plastic Repeated loading of Differential subgrade
deformation subgrade settlement
(ballast pocket) Soft or loose soils Ballast pockets
3. Subgrade attrition Repeated loading of Muddy ballast
with mud subgrade stiff hard Inadequate sub-ballast
pumping soil
Contact between
ballast and subgrade
Clay-rich rocks or
soils
Water presence
4. Softening Dispersive clay Reduces sliding resistance
subgrade surface Water accumulation of subgrade soil surface
under Sub-ballast at soil surface
Repeated train
loading
5. Liquefaction Repeated dynamic Large track settlement
loading More severe with
Saturated silt and vibration
fine sand Can happen in sub-ballast
Loose state
6. Massive shear Weight of train, Steep embankment and
failure (slope track, and subgrade cut slope
stability) Inadequate soil Often triggered by
strength increase in water content
140 19 The Deterioration of the Track Components

Table 17 (continued)

Type Causes Features

7. Consolidation Embankment Increased static soil stress
settlement weight as from weight of newly
Saturated fine- constructed embankment
grained soils Fill settles over time
8. Frost action Periodic freezing Occurs in winter/spring
(heave and temperature period
softening) Free water Heave from ice lens
Frost-susceptible formation
soils Weakens from excess
water content on thawing
Rough track surface
9. Swelling/shrinkage Highly plastic or Rough track surface
expansive soils Soil expands as water
Changing moisture content increases
content Soil changes as water
content decreases
10. Slope erosion Surface and Soil washed or blown
subsurface water away
movement Flow onto track fouls
Wind ballast
Flows away from track
can undermine track
11. Slope collapse Water inundation of Ground settlement
very loose soil
deposits
12. Sliding of side hill Fills placed across Transverse movement of
fills hillsides track
Inadequate sliding
resistance
Water seeping out
of hill or down
slope is a major
factor

19.7 Effects of Irregularities Inhomogenities in the Ballast

Track
Inhomogenities in the ballasted track are difficult to avoid or even minimize.
Thus, a high output quality can be a highly homogeneous subgrade, a
homogeneous ballast layer and rails with a good running surface are reached. It
has been shown that the initial (output) quality of a ballasted track is crucial for
19.7 Effects of Irregularities Inhomogenities in the Ballast Track 141

the development of settlements in the track (see Section V). Each line has a typical
profile, which is set during construction due to existing inhomogenities, which
will deteriorate again after each tamping [8].

19.7.1 Effects of Pollution in the Ballast Bed

Once the ballast bed is polluted (Figure 88), an unfavourable pressure distribution
acts on the subgrade. The pollution caused by rising fines from the surface
increases.
In the muddy ballast, friction is greatly reduced. It comes in uneven settlement
of the track. The restoration of the track position by "tamping" is only a short time
effectively. The track position is deteriorating rapidly; the subgrade is still stressed
harder. Clay goes on the surface of the ballast bed. Settlements occur in the track,
which can sometimes lead to derailments.

Fig. 88 Polluted ballast bed

19.7.2 The Formation of Hollows (Voids) under the Sleepers

The contact problems between the sleeper and the ballast lead to hollows under
the sleepers (voids).
142 19 The Deterioration of the Track Components

There are different types of contact problems between the sleeper and the
ballast [31]:
Central hollow A hollow forms at the centre of the sleeper and extends
(Figure 89) symmetrically in both directions.
The void is assumed to expand up until the sleeper
becomes fully hung.
This case is easily detectable by visual inspection of a
poor-quality railway track.

Fig. 89 Sleeper/ballast contact patterns: central hollow

Single hanging The hanging condition forms at one end of the sleeper.
(Figure 90) The hanging space grows incrementally from perfectly
full contact to totally hung condition.
This void can extend from either end of the sleeper.

Fig. 90 Sleeper/ballast contact patterns: single hanging

Double-side The double-side hanging can also occur when the gap
hanging between the sleepers and the ballast forms at both ends.
(Figure 91) The sleeper/ballast contact in this case remains only in
the middle segment of the sleeper.
19.7 Effects of Irregularities Inhomogenities in the Ballast Track 143

Fig. 91 Sleeper/ballast contact patterns: double hanging

Triple hanging In this contact pattern, not only do the hollows format
(Figure 92) both ends, but also there is a pocket growing up at the
centre of the sleeper.

Fig. 92 Sleeper/ballast contact patterns: triple hanging

Side-centre hollows The asymmetric contact configurations are considered in

(Figure 93) this case for which the edge hanging and the central
hollow are supposed to form at the same time.

Fig. 93 Sleeper/ballast contact patterns: side-central hollows

144 19 The Deterioration of the Track Components

A hollow position under the sleeper can develop, as describe bellow.

1. During the track construction process the grain structure of the ballast is
stabilized.
2. After the first train passing a certain hollow position distribution is
achieved due to the irregularities (rail, ballast, soil).
3. At a train passing, the contact between the hollow-sleeper and the ballast
is closed. Loads and vibrations are transmitted into the ballast bed.
4. During the passing of a train, ballast under a hollow-sleeper is alternately
loaded and unloaded.
5. Through increased dynamic effects (the sleeper hammers on the ballast)
and the intermediate full load-discharge of the ballast (when the sleeper
moves upwards), the initial stabilized structure of the ballast grain is
reduced in the horizontal direction.
6. Due to abrasion or ballast grain destruction at the position of a hollow
sleeper, often tamping is necessary which leads to a stronger ballast
pollution and at the end to a track destabilization.

19.7.3 Causes for Unstable Ground (Substructure) A Summary

Causes of unstable ground can be from any of the layers ballast, sub-ballast and
subgrade (formation). Very often, unstable ground is also associated with poor
drainage (Chapter 23). Due to poor drainage the ballast layer can become weak,
deforming excessively. This leads to poor track geometry, which in turn causes
higher wheel/rail forces ([24][24.3]).
In the ballast layer, fouled ballast is often the culprit. Fouled ballast has very
high stiffness and little damping, and therefore is not capable of accommodating
high wheel/rail forces associated with poor track geometry.
A saturated sub-ballast layer due to fouling materials and poor drainage can
lose its strength under repeated dynamic wheel loads, thus becoming an unstable
layer.
If formation is built with soft or marginal soils, it can become unstable either in
a progressive manner or suddenly. Sudden formation failure rarely occurs, unless
there is a dramatic change of environment (such as high rainfall and flooding) or
load conditions (such as a large increase of wheel loads). Progressive deformation
(shear), however, often occurs for the formation built with soft or marginal soil
types. This progressive deformation can become rapid, leading to rapid track
geometry degradation when speed or axle load increase, because the bearing
capacity of formation soil may not be sufficient to withstand the stresses caused
by traffic loads. In addition, poor drainage or entrance of water to the subgrade
(formation) may reduce soil strength, leading to excessive deformation or unstable
ground.
19.7 Effects of Irregularities Inhomogenities in the Ballast Track 145

19.7.4 Techniques for Correcting Unstable Ground

Established techniques for correcting unstable ground include:
[1] Geogrids that can improve bearing capacity of formation
[2] Short piling, geo(stone) piers or lime-cement pillars installed under the
ballast layer to improve bearing capacity of formation
[3] Ballast undercutting and shoulder cleaning to improve ballast drainage
[4] Design lift tamping (or stone blowing) to improve ballast deformation
characteristics
[5] Sufficient ballast layer thickness with good quality ballast materials to
reduce stresses transmitted to the formation
[6] Adequate sub-ballast layer (formation protection layer)
[7] Removal and replacement of poor formation soil
[8] Hot mix asphalt underlay (between ballast and subgrade (formation)) to
reduce stresses transmitted to the formation and to prevent surface water
penetration into the subgrade (formation).
20 Track Settlements

Railway track will settle due to the permanent deformation in the ballast and
underlying soil.
A new track is straight and well levelled. After having been used some time,
the track loses its perfect track geometry due to the train traffic. The severity of
the settlement depends mainly on the quality and the behaviour of the ballast, the
sub-ballast, and the subgrade.
Track settlement takes place in two phases [32]:
Phase A - Directly after tamping: the track has perfect geometry. The
settlement is relatively fast until the gaps between the ballast particles have
been reduced and the ballast is consolidated.
Phase B - After the track has been used for some time: Settlement is slower
and there is a more or less linear relationship between settlement and time (or
load). This settlement is caused by several basic mechanisms of ballast and
subgrade behaviour:
Compression of ballast and subgrade35:
o Continued (after the first phase) volume reduction, i.e., compression of
the ballast and subgrade, caused by particle rearrangement.
o Sub-ballast and/or subgrade penetration into ballast voids. The ballast
sinks into the sub-ballast and subgrade. The track geometry changes
accordingly.
o Ballast volume reduction caused by
particle breakdown from train loading or environmental
factors (ballast particles may split into smaller particles).
abrasive wear at points in contact with other particles (i.e.,
originally cornered stones become rounded, then occupying
less space).
Inelastic behaviour of the ballast and subgrade materials:
o Inelastic recovery on unloading: Due to micro-slip between ballast
particles at loading, all deformations will not be fully recovered upon
unloading the track.

35
The train load may also have an opposite effect: due to the elastic foundation, the train
load will lift the track (rails and sleepers) in front of and behind the loading point, thus
reducing or eliminating the preload (the dead load) caused by the rails and sleepers on
the ballast.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 147148.
DOI: 10.1007/978-3-642-36051-0_20 Springer-Verlag Berlin Heidelberg 2013
20 Track Settlements 148

o Movement of ballast and subgrade particles away from under the

sleepers causes the sleepers to sink into the ballast and subgrade.
o Lateral, and possibly also longitudinal (in the rail direction) movement
of sleepers causing the ballast beneath the sleepers to be pushed away,
and the sleepers will sink deeper into the ballast.
21 Discrete Track Defects as Cause of Track
Deterioration

Wheel/rail contact happens over a very small area (see Chapter 17). In this small
area the stresses can cause a variety of defects. Defects or irregularities in either
wheel or rail generate sharp peak forces (high frequency forces) in the vehicle and
the track (par. 17.7).
Flat wheels and rail corrugations cause periodic excitation. Dipped weld joints
and rail shelling and spalling cause non-periodic excitation. The periodic defect is
more serious than the non-periodic defect, but the non- periodic defect can
produce much higher impact forces.
The range of different defects can be classified as following [10]:

isolated irregularities in the rail running surface,

periodic irregularities on the rail surface such as corrugations or repetitive
effects of the sleeper spacing,
wheel defects such as wheel flats and wheel eccentricity, vehicle
misalignments,
random geometrical deviations of the longitudinal profile, and
random variation in sleeper support stiffness.
The following table gives an overview of the different irregularities, the
correspondent types of defects, the forces affected and the related induced
stresses (see [10]).

Table 18 Types of defects based on their characteristics (After [10])

Forces or
Class of Types of
Loads Stresses Induced
Irregularity Defects
affected
By default,
manufacturing or
P1 + P2
Isolated construction, Contact stress, longitudinal
dynamic
Irregularities dipped weld stress and shear stress
forces
joint, shelling
and spalling
Periodic P2 dynamic Longitudinal stress and
Wear
Irregularities forces shear stress

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 149150.
DOI: 10.1007/978-3-642-36051-0_21 Springer-Verlag Berlin Heidelberg 2013
21 Discrete Track Defects as Cause of Track Deterioration 150

Table 18 (continued)

Corrugation,
P1 + P2
wheel flats and
Wheel Defects dynamic Vertical bending stress
wheel
forces
eccentricity
P2 dynamic
Vehicle Hunting and
forces. and Lateral bending stress
Misalignments yawing
lateral forces
Quasi-static
Track changes in
dynamic
alignment and
Geometrical forces, P2 Vertical and lateral bending
gauge, and
Deviations dynamic stresses and bearing stress
uneven
forces and
settlement
lateral forces
Voids in ballast
Variation in
under sleeper P2 dynamic Vertical and lateral bending
Sleeper Support
and fouled Forces stresses and bearing stress
Stiffness
ballast
22 Track Problems, Causes, Mechanisms,
Solutions

22.1 Important Track Problems and Their Underlying Causes

Table 19 lists the full range of problems identified and shows how the IMs are
affected by each one ([24][24.2]).

Table 19 Problems identified and shows the IMs, listed by frequency of reports

Frequency
Nr. Component Problems
of Reports

1 Track bad track geometry 75%

2 Rail cracks and fatigue 75%

3 S+C38 switch wear 75%

4 Substructure unstable ground 62,5%

5 Joints insulating joint failure 50%

6 Rail corrugations 37,5%

7 Rail wear 37,5%

8 Structures major line closures 25%

9 Fasteners worn/missing pads 25%

10 Sleepers renewal optimisation 25%

38
Switches and crossings.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 151155.
DOI: 10.1007/978-3-642-36051-0_22 Springer-Verlag Berlin Heidelberg 2013
152 22 Track Problems, Causes, Mechanisms, Solutions

Table 19 (continued)

11 Culverts/pipes flooding 25%

12 Ballast stone spray 25%

13 Ballast ballast wear 25%

14 Rail low friction/adhesion 25%

15 Joints weld quality 25%

16 S+C common crossings 25%

17 S+C manganese diamond (crossing)s 25%

18 S+C geometry maintenance 25%

19 S+C loss of detection 25%

A further analysis of the results ranks each problem and its underlying cause
solely on the basis of cost. The top ten problems and their causes are as follows
([24][24.2]):

Table 20 The ten most important track problems and their underlying causes

Nr. Component Problems Causes

1 Rail: cracks and fatigue creep forces

2 Rail: cracks and fatigue bad wheel/rail interface

3 Track: bad track geometry soft substructure/bad drainage

Switches and
4 Crossings wear in switches Substructure
(S+C):

5 Rail: corrugations vehicle/track interaction

22.2 Switches and Crossings: Cracked Manganese Diamond (Crossing) 153

Table 20 (continued)

cracked manganese
6 S+C: weld quality
diamond (crossing)s

7 S+C: geometry maintenance optimal maintenance regime?

8 Substructure: unstable soft substructure/wet track bed

9 Track: bad track geometry sub-optimal maintenance

wrong/unknown stress free

10 Track: bad track geometry
temperature

An analysis of the majority of the problems has been presented in the relevant
paragraphs. In the following paragraphs we will analyse the causes for
cracked manganese diamond (crossing)s
bad track geometry
weld quality

22.2 Switches and Crossings: Cracked Manganese Diamond

(Crossing)
The failure of manganese diamonds (crossings) is analogous to wear in switches
and therefore these priorities are equally relevant for cracked diamond (crossing)s.
A switch forms a discontinuity in any track where one is installed. It is a
discontinuity with regards to track support due to the altered sleeper arrangement
and during tamping operations it may require a separate operation or manual
correction. A switch also forms a discontinuity for the wheel rail contact patch that
may give rise to high transient vertical and creep forces (see 17.6.3.3). The high
lateral accelerations to any vehicle not travelling in the straight ahead position will
also cause high forces. The installation and maintenance of a switch is critical to
its performance and any error may not be immediately apparent. For all these
reasons, a switch will experience higher forces than plain line and the life of the
switch will generally be reduced by plastic deformations, wear and/or fatigue
cracks ([24][24.3])

22.3 Track: Bad Track Geometry Wrong or Unknown Stress

Free Temperature (SFT)
High rail temperatures result in the necessity to impose speed restrictions, and
hence train delays, due to the increased risk of track buckling. This may be a risk
154 22 Track Problems, Causes, Mechanisms, Solutions

due to the rail temperature exceeding the safe limit established from the rail
stressing procedure, or a risk due to lack of confidence in the stress free
temperature (SFT) in a track section. The problem for the track maintainer is that
the SFT is almost always unknown and non-destructive or non-invasive
measurement technology capable of continuously characterising the SFT of CWR
does not exist. Climate change may result in more delays due to speed restrictions
imposed as a result of hot rails, raising the priority for solutions to this problem
condition ([24][24.3]).

22.4 Rail Welds

Rail welds are track discontinuities in regard to their metallurgical and mechanical
properties. Rail welds tend to have lower hardness in the adjacent heat affected
zones in comparison to the parent rail. Weld microstructures may also vary
significantly from the parent rail. Two weld types comprise the majority of welds
used in rail service, aluminothermic (thermite) welds and electric flash-butt (EFB)
welds.
Thermite welds are by nature inclined to porosity and cleanliness problems,
such as inclusions, typical of cast structures. Thermite weld production is highly
operator dependant and as a result may experience significant variation in weld
quality. EFB welds are much less operator dependant and produce the highest
quality welds but are correspondingly more expensive and are less portable. Table
21 summarizes the types of failures associated with each weld process
([24][24.3]).

Table 21 Types of failures associated with each weld process

Typical Weld
Degradation and Aluminothermic Weld Electric Flash-butt Welds
Failure Modes
Railhead Batter / Rail end misalignment. Rail end misalignment
Dipping Mechanical Properties: Mechanical Properties:
Hardness Hardness
Strength Strength
Distribution Distribution
Railhead Shelling / Mechanical Properties. Mechanical Properties.
Chipping Cleanliness. Electrode burns.
(Surface and
Subsurface RCF)
22.4 Rail Welds 155

Table 21 (continued)

Horizontal Web Fatigue initiation sites Fatigue Initiation Sites

Fractures Inclusions Inclusions
Porosity Mechanical
Mechanical Damage
damage Weld geometry
Weld geometry (shear ridges)

Wheel loading conditions Wheel loading conditions

Vertical loading
location Residual stress distribution
Lateral loading Vertical loading
location
Lateral loading
Residual stress
Vertical Base Fatigue initiation sites Fatigue initiation sites
Fractures Inclusions Inclusions
Porosity Mechanical
Mechanical damage
damage Weld geometry
Weld geometry (shear ridges)

Wheel loading conditions. Vertical wheel loading.

Track support conditions. Track support conditions.
Residual stress Residual stress distribution.
distribution. Rail end misalignment.
Rail end misalignment. Thermal stress.
Thermal stress.
23 Track Drainage

23.1 Introduction
There are four principal sources of water to consider that can affect the track [78]:
1. Rainfall directly on the track structure.
2. Surface water flowing toward and infiltrating the track structure.
3. Water flowing within the track structure, e.g., within ballast pockets (par.
19.6.2) or fill used to construct the embankment.
4. Groundwater.
Collecting and diverting surface water away from the track structure may be the
most cost-effective portion of any subgrade maintenance program. The more
water that is intercepted and diverted, the less water is available to infiltrate and
potentially deteriorate the track structure.
Suitable track drainage is important to prevent the track formation from
becoming saturated, that can lead to weakening and subsequent failure of the
formation. So, adequate drainage must be installed in new or upgraded track, and
existing drainage must be maintained so that it works effectively.
Track drainage consists of two types:
Surface drainage
Subsurface drainage.
In this chapter, prevention and correction of situations that may result in soft
subgrades or embankment damage will be discussed. In more details, we will
discuss:
Common causes of subgrade problems and their recognition
Remedies that may be used in typical soft subgrade or embankment
instability situations

23.2 Surface Drainage

Surface drainage removes surface runoff before it enters the track structure, as
well as collecting water percolating out of the track structure [78].
Basic grading of the ground on either side of the track is a form of surface
drainage, and allows water flowing out of the track structure to be removed.
Shoulder grading may be used in very flat areas where it is difficult to get
sufficient fall for either surface or subsurface drains.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 157174.
DOI: 10.1007/978-3-642-36051-0_23 Springer-Verlag Berlin Heidelberg 2013
158 23 Track Drainage

There are three main types of surface drainage. These are (Fig. 94):
Cess drains (par. 23.2.1)
Catch drains (par. 23.2.2)
Mitre drains (par. 23.2.3).

Fig. 94 Surface Drainage Types

Surface Drainage: Dos and Do Nots [78]:

DO divert water away from track
DO keep cess drains clean and graded
DO NOT let water pond
DO NOT let water infiltrate the embankment

23.2.1 Cess Drains

Cess drains are surface drains located at subgrade (formation) level at the side of
tracks, to remove water that has infiltrated through the ballast and is flowing along
the capping layer towards the outside of the track formation. Cess drains are
primarily intended for the protection of the subgrade (formation) by keeping the
subgrade (formation) dry [78].
Cess drains are most frequently found in cuttings where water running off the
formation cannot freely drain away.

Fig. 95 Cess drain - Typical location

23.2 Surface Drainage 159

23.2.2 Catch Drains

The purpose of catch drains (also known as top drains) is to intercept overland
flow or runoff before it reaches the track. They reduce the possibility of causing
damage to the track or related structures, such as cuttings or embankments [78].
Catch drains are generally located on the uphill side of a cutting to catch water
flowing down the hill and remove it prior to reaching the cutting (Fig. 96).
If this water was allowed to flow over the cutting face, it may cause excessive
erosion and subsequent silting up of cess drains.

Fig. 96 Typical catch drains

Catch drains may be used alongside tracks that cut across a slight downhill
grade.

23.2.3 Mitre Drains

Mitre drains (also called spoon drains or offshoot drains) are connected to cess
and catch drains to provide an escape for water from these drains (Fig. 97). Mitre
drains should be provided at regular intervals to remove water before it slows
down and starts to deposit any sediment that it may be carrying [78].
160 23 Track Drainage

Fig. 97 Mitre drains

23.2.4 Culverts

23.2.4.1 General

Surface drainage systems include culverts. Improperly maintained or inadequate

culvert pipes, can contribute to soft track situations. Also, culverts are often
located in areas with a tendency for the development of soft track because of
topography, geology and geologic history, poor original embankment construction
practices, and because water is diverted toward the culverts which provides
greater opportunity to introduce water into the adjacent embankment.
Many culverts were constructed many years ago and may be corroded,
damaged, partially or completely plugged, or undersized. Other culverts may have
been improperly installed or backfilled or were installed under conditions not
conducive to long culvert life (for example, installation during a rainstorm or a
short track window) [86].

23.2.4.2 Culvert Maintenance

Leaking culverts (i.e. due to corrosion, poor installation etc.) may permit water to
flow into the embankment soils. This water may then contribute to destabilization
of the fill (see 23.5).
Culvert maintenance programs should include [86]:
Replacement or repair of undersized and damaged culverts.
Cleaning completely or partially plugged culverts.
23.2 Surface Drainage 161

Relining of corroded pipes. Many methods for doing so are available. A

qualified engineer should be consulted to evaluate the alternatives and
develop recommendations.
Replacing severely damaged undersized pipes, and pipes with vertical
sags. If the existing damaged pipe is left in place in the embankment and
a new pipe installed nearby, the inlet to the existing pipe should be
plugged so that water does not continue to flow down it and leak into the
embankment. Completely filling the abandoned culvert with soil, grout,
or concrete should be considered if there is a potential for collapse of the
culvert and impacts to the track structure.
Installing internal couplers to repair or re-couple corrugated metal pipe
joints that have partially pulled apart.
When a culvert joint or the culvert pipe itself has pulled apart, it should warn you
that a more serious problem may exist at the site and something other than simply
replacing or repairing the culvert may be required. Shifting and settlement of the
embankment, progressive failure of the embankment over time, or relatively rapid
slope movements (some of which may have happened in the past and the
embankment repaired at that time) can result in culvert joints pulling apart or
stretching and failure of the pipe itself.
Often this occurs i.e. in chronic soft track locations, in areas inclined to
embankment problems. An embankment already inclined to instability may
experience a further decrease in stability by water introduced into the embankment
from the damaged culvert.

23.2.5 Maintenance Practices for Surface Drainage

Recommended maintenance practices include [86]:
Improve surface drainage make sure runoff runs off and does not pond.
Divert surface water prior to it reaching the problem area.
Prevent surface water from ponding and infiltrating the embankment.
Deepen cess drains to 300 millimetres below the bottom of top subgrade
(formation) (do not deepen cess drains to the point that the track section
is undercut).
Grade cess drain bottoms to improve runoff.
Clean cess drains and culverts.
Check culverts and ensure they are in good condition, have not rusted
through, and have not pulled apart.
Replace culverts that are too small with culverts of adequate capacity.
Maintain culvert inlets and install systems to reduce the potential for the
inlet to plug or for debris to wash into the culvert and plug it.
Clean embankment cesses of undercutter, ballast cleaner, and cess drain
cleaning debris. Grade cesses to drain water over side of the embankment
without concentrating the flow (Fig. 106). Erosion protection measures
may be required on the slope of the embankment.
162 23 Track Drainage

23.3 Subsurface Drainage

23.3.1 General
Subsurface drainage is necessary for maintaining the integrity of the track
subgrade (formation) and ensuring the stability of earth slopes [78].
Subsurface drainage is used for:
drainage of the track structure
controlling of ground water
the draining of slopes.
Subsurface drainage shall be provided in locations where the water table is at or
near earthworks level.
Subsurface drainage shall be provided along the cess, between, across, or under
tracks as required. Advice should be sought from the Geotechnical Engineer
before designing and installing sub-surface drainage.
Subsurface drainage systems shall be designed to take surface runoff, ground
water and seepage, and water collected from other drainage systems to which the
new system is being connected.
If a drainage system is required to remove ground water and seepage, a detailed
hydrological and geotechnical investigation is required to determine the volume of
water for the sizing of drains. The volume of water from other systems is
determined from the outlet capacity of that system.
Subsurface drains are used where adequate surface drainage cannot be provided
due to some restriction or lack of available fall due to outlet restrictions. Locations
where these circumstances may occur are:
Platforms
Cuttings
Junctions
Multiple tracks
Bridges
Water in the soil and in cracks that have opened in the ground can destabilize
embankments or decrease soil strength. This water is often a major contributor
to soft track conditions. Draining this water from the track section and
embankment is fundamental to improving track and embankment performance.
Typical places within an embankment where water may be expected to
accumulate or become trapped, and from which it should be drained, include [78]:
Ballast pockets (par. 19.6.2)
Cracks in embankments
At the contact between the subgrade and a relatively rigid slab that
overlies the subgrade but is below the ballast.
At the contact of more permeable rock or soil with less permeable
materials.
A method commonly employed to drain water from track sections and
embankments is to construct gravel-filled trench drains (Fig. 98 to Fig. 100).
23.3 Subsurface Drainage 163

Fig. 98 A slope before the construction of a track

Fig. 99 Groundwater elevation in fill before installing trench drain

Fig. 100 High groundwater condition causing embankment instability. Lowered

groundwater condition resulting from trench drain installation also depicted (after [86])
164 23 Track Drainage

23.3.2 Functions of Subsurface Drains

Subsurface drainage systems perform the following main functions [78]:
Collection of infiltration water that seeps into the subgrade (formation) or
capping layer), as shown in Fig. 101.
Draw-down or lowering of the water table, as illustrated in Fig. 102.

Fig. 101 Collection of water seeping into the ballast structure

Fig. 102 Lowering the water table

23.4 Indicators of Poor Drainage 165

Subsurface Drainage Systems are effective for

draining water from soil
draining water from ballast pockets
draining water from cracks in the ground
lowering the groundwater elevation
intercepting water flowing toward the track

Subsurface Drainage: Dos and Do Nots

DO drain ballast pockets
DO NOT construct deep drains without the assistance of experienced
personnel

23.4 Indicators of Poor Drainage

(After [85])
Wet Ground near or on the
Embankment

Ponded Water Adjacent to

Track
166 23 Track Drainage

Cattails39 on Slope above Track

Water ponded in ditch and

wetlands40 plants

23.5 Failure Cases

23.5.1 Track Geometry Faults due to Poor Drainage

Fig. 103, shows a perfect track, but with localized track geometry faults,
measured at a certain track position by the Austrian Measurement Coach EM 250,
and at different time periods (after Prof. P. Veit, Technical University of Graz).

39
Typha is a genus of about eleven species of monocotyledonous flowering plants in the
family Typhaceae. The genus has a largely Northern Hemisphere distribution, but is
essentially cosmopolitan, being found in a variety of wetland habitats. These plants are
known in British English as bulrush, bullrush, or reedmace, in American English as
cattail, catninetail, punks, or corndog grass, in Australia as cumbungi or bulrush, and in
New Zealand as raupo.(source: wikipedia).
40
A wetland is an area of land whose soil is saturated with water either permanently or
seasonally.
23.5 Failure Cases 167

Fig. 103 Track geometry faults due to poor drainage41

The ponded water infiltrates in the ground, with a local variation of the track
stiffness, leading to a track softening at that location (Fig. 104).

Fig. 104 Ponded water

23.5.2 Failure due to Poor Drainage: Infiltration and

Embankment Failure
In Fig. 105 an infiltration and embankment failure due to poor drainage is
presented.
41
Source: Dr. Florian Auer, BB".
168 23 Track Drainage

Fig. 105 Infiltration and embankment failure resulting from poor drainage (after [85])

Fig. 106 presents remedies for improved surface drainage.

23.5 Failure Cases 169

Fig. 106 Improved Surface Drainage [85]

23.5.3 Embankment Failure Resulting from Impounded Water

Embankment failure resulting from impounded Water is possible when no culvert
is installed, or the culvert is plugged, so that the impounded water cannot flow
away. The water flows through the embankment, decreasing stability which can
lead to a failure surface (Fig. 108 to Fig. 110).

Fig. 107 A good functioning culvert

170 23 Track Drainage

Fig. 108 Embankment Failure Resulting from Impounded Water [86]

Fig. 109 Plugged culvert [86]

23.5 Failure Cases 171

Fig. 110 Washout because of plugged culvert [86]

23.5.4 Erosion of Embankment Slope by Water Flowing over the

Embankment
In this case, the culvert is plugged or no culvert installed, the impounded water is
in the level of the rail/sleeper. Water flow over or through the track, eroding
embankment (Fig. 111, Fig. 112).

Fig. 111 Embankment slope by water flowing over the embankment (after [86])
172 23 Track Drainage

Fig. 112 Erosion of Embankment Slope by Water Flowing Over the Embankment (after
[86])

23.6 Keep in Mind

1. Water is a major contributor to soft track and the key to reducing the
occurrence of soft track is DRAINAGE
2. Water trapped in a ballast pocket is a major contributor to many soft
track situations
3. Proper surface drainage is probably the least expensive and most easily
implemented measure for preventing soft track problems or improving
performance of soft track areas
[86])
23.7 Bad Examples 173

23.7 Bad Examples

Cess drain
plugged by
old ballast.

Cess drains
plugged by
old ballast
hindering the
water to flow
to the cess
drain.

Renovation of
a track in a
railway
station. The
track is laid in
a vessel.
Water cannot
be drained.
174 23 Track Drainage

Electrification
pole and
cable
channels in
the cess
drains,
hindering the
water flow
(drainage).
Danger of
pounded
water.
24 The Track Deterioration Model

It is well known that deterioration depends on the present quality level:

good track behaves well (deteriorates more slowly),
poor one deteriorates faster
This general observation means that a track behaves according to its quality.
Mathematically it can be expressed as ([74], [75]):

Where:
Q the actual track quality
Q0 the initial quality
b the deterioration rate coefficient
t the time

Track quality is deteriorating due to traffic, showing various faults. The

development of the track quality is shown in Figure 113:

Fig. 113 The development of the track quality

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 175176.
DOI: 10.1007/978-3-642-36051-0_24 Springer-Verlag Berlin Heidelberg 2013
176 24 The Track Deterioration Model

The next table describes the development of the track quality during its life in
relation to maintenance interventions at certain times, in order to keep the track
quality/functionality at the desired level.

Quality
Time Event
level
Time t0 Construction or rehabilitation of the track. Q0
The track has its initial (best) track quality Qo.
Time t1 Gradually track degradation. Q1A
Interventions are necessary in order to keep the
track quality/functionality at the desired level.
Interventions improve the track quality at quality Q1B
level Q1B. The new track quality doesnt reach the
initial quality (Q1B < Q0).
Time The track degradation cycles continuous. Q2B QnB
t2, tn The track quality after every intervention never
reaches the previous quality level (QnB < Q(n-1)
<.< Q2<Q1<Q0).

From the previous examination, we can draw the following conclusions /

positions ([74][75]):
1. Description of quality must consist of status data and their behaviour over
time.
2. Track quality isnt a stable situation (without changes), track quality is a
permanent procedure.
3. The development of the track quality geometry is predictable.
In the next paragraphs we will extensively analyse those positions.
Section V: Track Quality

Quality is not an act, it is a habit.

Aristotle
Quality is never an accident; it is always the result of high intention,
sincere effort, intelligent direction and skilful execution; it represents the
wise choice of many alternatives.
William A. Foster

Quality should be the final goal for the Infrastructure Manager. In this section we
examine the importance of good quality and how quality affects the long term
behaviour of the railway track.
25 The System Railway Infrastructure

Key Terms:
Track quality behaviour, quality and safety, track quality and dynamic load

25.1 Introduction
The system railway infrastructure can be described by three basic constituents:
the capacity of the network, the substance and the quality of infrastructure (Figure
114) [77]:
Capacity (maximal number of operable and marketable train-paths in a
given time span, on a given part of the network),
Substance (average remaining life time of infrastructure components) and
Quality (quality of tracks geometry and of its components).
Capacity, substance and quality are interrelated parameters and must jointly be
adjusted.
Capacity, substance and quality may be represented trough the following
figure.

Fig. 114 System Railway infrastructure

Managing infrastructure amounts to the same as setting the three parameters at

the most appropriate level, in order to maximize the efficiency of the whole
system:

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 179183.
DOI: 10.1007/978-3-642-36051-0_25 Springer-Verlag Berlin Heidelberg 2013
180 25 The System Railway Infrastructure

capacity can be adjusted through adapting investment policies

infrastructure substance can be tuned through a suitable renewal policy
and
quality can be adjusted with the maintenance policy.
Capacity, substance and quality of a network are tightly related together, as can be
seen in a case of loss of the rail infrastructure due to insufficient budgets, Figure 115.

25.2 Case of Loss of the Rail Infrastructure due to Insufficient

Budgets
Initial situation YEAR 0
Infrastructure is in a good state. The
quality is high enough to guarantee the
expected level of service quality.

First step YEAR +1 / +2

Limitation of budget for renewal
actions or decrease of available
intervals for renewal.
The consequences of such a policy are
not yet visible as the infrastructure has
enough substance.
More capacity is available.

Second step YEAR +3 / +4

In order to keep quality standards,
more maintenance has to be done. The
infrastructure grows older and needs
more maintenance actions.
The availability of capacity decreases
too.

Fig. 115 Loss of the rail infrastructure due to insufficient budgets (after [77])
25.2 Case of Loss of the Rail Infrastructure due to Insufficient Budgets 181

Third step YEAR +6 / +8

It becomes hard to keep quality
standards as needs in maintenance
grow very quickly.
There aren't enough resources to
achieve the maintenance.
Speed restrictions have to be set in
order to guarantee the safety of the
traffic.
There is a significant decrease of
available capacity.
Final step YEAR +10/+
The system "infrastructure" is totally
unstable.
Maintenance costs are out of control,
the quality decreases.
There is a significant lack of capacity.
Massive renewal actions have to be
launched in order to reverse the trend
and to bring the network to its balance.
These renewal actions require high
investments and works lasts several
years, years during which railways
operators experience serious
difficulties to offer an acceptable
service.
Fig. 115 (continued)

The result of an insufficient budget is a dangerous loss in substance that

unfortunately may become visible only in mid- or long-term range; the
infrastructure lives on its substance. Considering the fact that after a certain age it
is impossible to guarantee the quality of the infrastructure by a maintenance
action, a renewal action has to be undertaken. An infrastructure living on its
substance means that the average age of the infrastructure is constantly growing,
leading to a point where an important part of the network should be renewed at the
same time. This produces budget problems, machines and manpower bottlenecks
and, usually, as renewal actions can't be done quickly enough, speed and traffic
restrictions must be enforced. The system "rail" is then unstable.
This example gives evidence that certain basic decisions on the maintenance
and renewal policy as the ratio between maintenance and renewal budgets have a
decisive influence on the long-term network capacity. It is therefore crucial for
any Infrastructure Manager to adapt a long-term M&R policy, integrating
the evolution of capacity as well as maintenance and renewal.
182 25 The System Railway Infrastructure

25.3 Dependence between Railway Infrastructure Capacity,

Substance and Quality

25.3.1 First Dependence: Capacity vs. Maintenance and Renewal

An increase of traffic induces an escalation of infrastructure deterioration and
consequently an expansion of needs in its maintenance and renewal (hereafter
M&R). Related M&R engineering works induce then an increase of track
possessions, worsening so the saturation rate of the network. If engineering works
are not undertaken, condition of the infrastructure will sooner or later deteriorate
and generate permanent speed restrictions (to avoid a decrease of the safety level).
The figure below illustrates the problem [77].

Increased
train paths

Increased
Increased
infrastructure
demand deterioration
Conflict

Capacity?
Increased
Quality?
M&R
Costs?
Increased
posession
intervals
Fig. 116 Technical interrelation between capacity and M&R

The dependence between capacity and M&R occurs not only on the technical
side of infrastructure management but obviously also on the economical field:
the marketing departments goal is to sell as many slots as possible to
satisfy customer demand.
The maintenance departments task on the other hand is to keep the
infrastructure on a defined quality level. M&R works have to be carried
out at the lowest possible costs, which imply the use of heavy machinery
and large track possessions inherently consuming capacity, hereby
reducing marketable train-paths.
25.3 Dependence between Railway Infrastructure Capacity, Substance and Quality 183

A demand increase leads to a bigger train-paths requirement, which then results in

a growing deterioration of infrastructure and consequently more intensive
maintenance and renewal (M&R) works. In some cases new infrastructure is
necessary to avoid bottlenecks (capacity investments). Both of the last points
(maintenance and renewal works growth and capacity investments) induce an
increase of infrastructure possession intervals for the works. More infrastructure
possession intervals decrease the available trainpaths and the infrastructure may
not be able to supply the market. This is a conflict with which the infrastructure
management has to deal (Figure 116).
Thus, the infrastructure management includes two strongly linked aspects: the
capacity management and the resource management.
The capacity management aims at making train-paths available as
required by the market, at an acceptable level of quality, taking into
account the infrastructure possession time required by M&R works and
an acceptable cost.
The resource management aims at ensuring the required Reliability-
Availability-Maintainability-Safety (RAMS) of the infrastructure,
minimizing its life cycle cost.

25.3.2 Second Dependence: Quality vs. Substance

As already examined the most significant factor contributing to infrastructure
deterioration by far is the dynamic load of trains running on the track. The
dynamic load is directly related to the axle load and track geometry. The two
elements are closely linked in the complex process of deterioration.
The bad state or quality of material contributes significantly to the deterioration
of the track geometry. Bad track geometry produces higher dynamic loads on the
material, which accelerates the degradation of the material, and thus significantly
reducing the substance. A detailed analysis is given in Section IV.
26 What Is Quality?

26.1 Overview
There are general questions referring to track quality, which are dominant in
periods with big budget constraints:
Do we really need quality?
How much quality is technically necessary?
Is quality economically justified?
Quality is a result partly of investment and renewal, and on the other hand a result
of maintenance [75]:
The role of investment and re-investment is the creation of an adequate
output quality.
The task of the maintenance is to translate this into an appropriate
service life of the track.

26.2 The Track Quality Behaviour during the Years

The quality of a section of track at the beginning of its life (after its construction)
determines its future behaviour. From various investigations it is known that the
degradation rate of a certain track section is like a typical fingerprint. The final

Fig. 117 The track behaviour of track in time

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186 26 What Is Quality?

quality of a track section at the beginning of its life determines its behaviour over
time. The initial quality affects the deterioration rate reflecting the suitability of
the track components for the traffic load [76].
As we can follow on Figure 11742, the two tracks presented have a different
behaviour in time. Although track A has a better initial quality, it deteriorates
faster than track B. (track A reaches the intervention limit in 16 months, and
needs maintenance. For track B the intervention limit is reached in about 23
months).

26.3 The Importance of Good Initial Quality

We start with two examples, demonstrating the importance of good initial quality.
Example 1: Comparison of the initial quality of two tracks
In Figure 118, two new constructed tracks are compared in time: Track 1 and
Track 2, having initial track quality Q01 and Q02 (t0 is the time after track
construction, when they are given in operation).
In this example, Q01 is 90% of that of a perfect track. For Track 2, Q02 the
respective value is 80% (that means that the two tracks have a difference of about
10% in quality). We suppose that the intervention limit is set to 70%.

Fig. 118 The importance of good initial quality -1

Following this example, after t2=14 months Track 1 will have the same initial
quality as Track 2 (Q1-t2 = Q2-t0). Track 1 will reach the intervention limit (an
indication of starting maintenance needs) in t3 = 21 months. The respective time
for Track 2 is t1 = 9 months.
42
After Prof. Peter Veit seminars (Technical University of Graz).
26.3 The Importance of Good Initial Quality 187

Conclusion:
Although the initial quality of two tracks doesnt differ so much, there is a
significant difference in the starting of maintenance needs.

Example 2: Comparison of the standard deviation of the profile-faults of two

tracks
In Figure 119 the standard deviation of the profile-faults of two tracks is compared
according to traffic load. For Track 1 and Track 2, after their construction the
profile-faults has been measured with the track recording car, and found for
Track 1 0 = 0,8 mm and Track 2 0 = 1 mm (difference is 0,2 mm). We
suppose that the intervention limit is = 2 mm.
Track 1 will reach the intervention limit after about 18 million tonnes. The
respective value for Track 2 is about 9 million tonnes.

Fig. 119 The importance of good initial quality -2 [76]

Conclusion:
Although the track faults of two tracks are very similar at the beginning of their
life, there is a significant difference in the starting of maintenance needs.

Conclusion drawn of the two examples

Figures above show the relationship between initial track quality and track
deterioration rate. The worse the initial quality of a track, the more quickly
deteriorates the track geometry.
The initial quality plays a substantial role for the life of the track. Already
small variations in the initial quality significantly influences the maintenance
needs.
188 26 What Is Quality?

There is a pattern of track behaviour [74]:

good track behaves well,
poor one deteriorates faster.

26.4 Quality and Safety

26.4.1 Introduction
In the figures below we can see a track in very bad condition43 and a very good
one. What track is safer?

(a1)

(b)
(a2)
Fig. 120 A low and a high quality track

Answering this question most would say: the track on the right, thinking that
quality is directly connected to safety. The right answer is: both tracks can have
the same level of quality. But there is a precondition that the trains are running
with the proper speed, set by the track engineer, in respect to the track faults. For
this speed both tracks are safe, having equal safety level. The track on the left

43
At Montmorency on the Hurstbridge rail line (Australia).
26.4 Quality and Safety 189

could be very safe for 30 km/h and very unsafe for 60 km/h. The track on the right
could be very safe for 160 km/h and very unsafe for 250 km/h.
Conclusion:
Quality has nothing to do with safety44.

26.4.2 Safety and Maintenance

Due to train traffic, track geometry is deteriorating. The aim of the track engineers
is to ensure the safe running of the trains at the designed performance level
without speed restrictions, which decrease the performance level of the track.
Lets examine the development of a track fault using the graph below
(Figure 121):
Fault size and failure probability
A very new track has (usually) very small sized faults, which are growing
in time, as track is deteriorating. Until they reach a certain value (at level
f0) there is no probability of a failure due to track geometry (in the graph
below section f00 f0 on the vertical axis). When the faults are growing
beyond this level, there is a risk of failure (in the graph bellow section f0
f100). If the track faults exceed a certain value (level f100) the probability
of a failure is 100%.
Fault development and safety
o At time t0 the track is new and the faults are very small sized
(youth period of the track, see 18.2).
o At time t1 a fault is found, with a size exceeding the alert limit.
The fault is growing. Until the size f0 is reached (at time t3), the
train can operate with full safety45. If the fault is not restored at
t3 (when reaching the immediate action limit), speed restrictions
must be set (to keep the safe running of the trains).
o Assuming that the Infrastructure Manager executes proper
maintenance, he would start the maintenance to restore the fault
at earlier stage (when reaching the intervention limit), that is at
time t2, in order to have a safety margin46.
The safety margin is defined in the maintenance strategy of
the Infrastructure Manager and has not to do with safety but is
set up only with economic criteria [74].

44
Prof. Peter Veit, [74].
45
Without any speed restrictions.
46
In par. 32.9 and 32.6 we will discuss in a big extension the different limit levels (alert
intervention - immediate action limit) and the different maintenance strategies.
190 26 What Is Quality?

Fig. 121 The fault development and the safety

27 Factors Affecting the Track Quality
Behaviour

27.1 General
As we examined in Section IV, deterioration or degradation is the reduction of
the original quality due to use and/or environmental influences. In par. 18.2 we
identified that three main groups of factors may be distinguished that contribute to
the deterioration of railway infrastructure:
Use: wear by physical contact, static and dynamic load
Environment: climatic influence, water
Failures: faulty components, bad construction
In most of the cases it is not just one of these factors that causes deterioration, but
a combination of them.
The following figure summarises the factors affecting the track degradation and
thus its quality behaviour.

Fig. 122 Factors affecting the track quality behaviour

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192 27 Factors Affecting the Track Quality Behaviour

27.2 The Interaction of Track Quality and Dynamic Load

Actions on track according to international literature [134]: the theoretical analysis
is based mainly in Winkler's theory (see par. 15.3.2) of an infinite beam on elastic
foundation. In international literature four methods are mainly- cited.

27.2.1 Method in the American Literature

The most adverse reaction/action on each support point (sleeper) is given by (see
[135]):

stat 1
100
where:
D33 in inches the diameter of a wheel of 33 inches,
Dwheel in inches the wheels diameter of the vehicle examined,
V the speed in miles/hour, and
stat is the same as in equations of the European literature below and it is
given by:

1

22
where:
ktotal the "rail support modulus" or "total track stiffness (static)" in kN/mm
(see par. 16.1),
the distance between the sleepers,
E, J the modulus of elasticity and the moment of inertia of the rail.

27.2.2 Method in German Literature

In German literature the most adverse reaction Rmax per sleeper is dependent upon
the probability of occurrence and for 99.7% probability is given by ([136],[137]):
60
1 0,9 1
140
for V 60 km/h. If V < 60km/h then
1,9

27.2.3 Method in French Literature

There is also the method cited in French literature ([134],[138],[139]) covering a
probability of occurrence 95,5% and distributing the total acting load with reaction
per sleeper 1,35 stat Qtotal as follows:
27.2 The Interaction of Track Quality and Dynamic Load 193

1,35 1 2

where
Qwheel the static wheel load,
Q the load due to cant deficiency,
2 coefficient of dynamic load for a 95.5 % probability of occurrence,
(RNSM) the standard deviation of the dynamic load due to non-
suspended masses,
(RSM) the standard deviation of the dynamic load due to suspended
masses.

27.2.4 Method in Greek Literature

After an -over 10 years- investigation program, in the Greek network, due to the
appearance of extensive cracks in concrete ties laid on track, in a percentage over
60%, a method was developed that is able to predict the observed conditions on
track ([140]). The actions on track panel are calculated through the following
equation covering a probability of occurrence 99,7%:
3

where
Qwheel the static wheel load,
Q = the load due to cant deficiency,
dyn = dynamic coefficient of sleepers reaction,
3 coefficient of dynamic load for a 99,7 % probability of occurrence,
(RNSM) the standard deviation of the dynamic load due to non-
suspended masses,
(RSM) the standard deviation of the dynamic load due to suspended
masses (for details the interested reader should read [140])
and:

1

22

where hTR the total dynamic stiffness of the track given by:

1
22
Where
E, J the modulus of elasticity and the moment of inertia of the rail
ktotal the "rail support modulus" or "total track stiffness (static)" in kN/mm
(see par. 16.1),
194 27 Factors Affecting the Track Quality Behaviour

In the motion of the Non Suspended Masses (NSM) of the vehicle a section of
track is also participating. For an accurate calculation of this track mass mTRACK -
participating in the motion of the mNSM- a detailed theoretical analysis compared
to data from measurements is cited in [133].
In all the theoretical methods above the total static stiffness of track plays a key
role: the more elastic the track is, the less the ties are stressed. It is therefore
evident that resilient fastenings play a key role in the distribution of loads on
track, and eventually in the life-cycle of the track [134].

In conclusion:
Maintaining a good track condition, the wheel / rail contact forces are kept
at low level, thus reducing the track wear.
28 Assessment of Track Geometry Quality

28.1 Overview
The condition of the superstructure is described by
1. The track quality
2. The amount and the severity of speed restrictions (speed decrease over a
length)
3. Track positions with long lasting problems
Track geometry is normally measured by track recording cars. They enable the
standard deviations to be calculated, which have proved to be useful for describing
the track quality. In some cases, also vehicle reactions calculated from the
recorded geometry are used to assess track quality.

28.2 Standard Deviation

The standard deviation (or SD) is one of the most commonly used track quality
indicators (TQIs) by European Railway Networks. It represents the dispersion of
the signal (position of the measured point along the track) over a given track
section, in relation to the mean signal (mean position of the track) over the
considered section.
N

(x i x) 2
= i =1
N 1
Where
N is the number of samples

x is the mean of the signal

is the standard deviation
The standard deviation is commonly calculated for the following parameters:
Longitudinal level D1 (D1: Wavelength range 3 m < 25 m) (see EN
13848-1)
Alignment D1
It is also calculated for the following parameters:
Twist
Track gauge

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196 28 Assessment of Track Geometry Quality

Cross level
Longitudinal level D2 (D2: Wavelength range 25 m < 70 m) (see EN
13848-1)
Alignment D2
Standard deviation for the longitudinal level and alignment is calculated either
separately for each rail or combined (for example: mean, worst, best or outer rail,
depending on the use to be made of the SD).
Commonly, standard deviation is calculated over a 100 or 200-m length. It may
be calculated either at fixed distances without overlap or, with overlap, as a sliding
standard deviation. Calculation of standard deviation is also done over longer
distances such as 1 km, an entire line or an entire network.

28.3 Isolated Defects

Isolated defects are mainly related to safety; however, counting the number of
isolated defects exceeding a specified threshold such as Intervention Limit (IL)
or Alert Limit (AL) (see par. 32.9) on a given fixed length of track can be
representative of the track geometric quality. This method is used by several
European networks.
The number of isolated defects per unit of track length is commonly counted
for the following parameters:
Longitudinal level D1
Alignment D1
Twist
Track gauge
Cross level
It is also counted for the following parameters:
Longitudinal level D2
Alignment D2
Commonly, the number of isolated defects is counted over 1 km or more. It may
also be counted over 100 or 200 m of track.
If required distinction between specific track sections can be made, such as
plain lines, stations and switches and crossings.
Alternatively a calculation can be made to specify what percentage of a line
exceeds a certain threshold level.
28.4 Combination of Various Parameters (Combining Standard Deviations) 197

28.4 Combination of Various Parameters (Combining Standard

Deviations)
Assessment of the overall track geometry quality of a track section (200m, 1000m,
...) can be made by a combination of standard deviations (SDs) of the individual
geometric parameters. An example of such a TQI is given below.

Where:
Al: mean of the alignment of both rails
G: track gauge
Cl: cross level
Tp: mean of the longitudinal level of both rails
w: weighting factor of the geometry parameters
: standard deviation of the individual geometry parameters
In this example, the TQI describes an overall track geometric quality and results
from a root-mean-square sum of the SDs of individual geometry parameters
multiplied by their weighting factors.
It is up to the Infrastructure Manager to determine the weighting factors and
TQI limits, e.g. for tamping purposes the weighting factor wG is zero.
Another method might be to transform the standard deviations of geometry
parameters or their combinations into a dimensionless number that can be used
without distinction of line category, speed range and track geometry parameter.
Section VI: Design Construction
Maintenance Aiming at High Performance

Knowledge is power
Francis Bacon

A high performance railway track has to be designed and constructed properly.

And then, when the trains are running on the track (operational phase), the track
has to be monitored and maintained. What are the possible maintenance
strategies? Which strategy best fits the needs and the culture of the various
Infrastructure Managers?
29 Track Design

Key terms:
Allowable stress design, service life of track, track condition monitoring,
monitoring optimisation, track maintenance, asset management,
maintenance strategies, effective (rational) maintenance, maintenance
policies, track maintenance planning, track segmentation, maintenance
actions

29.1 Some History of Design of Structural Elements

For many centuries, buildings and other structures were designed using common
sense, trial and error, and rules of proportion acquired through experience. Their
effectiveness depended on the knowledge and skills of master craftsmen.
In the nineteenth century industrialization and the mass-production of iron and
steel led to rapid changes in construction methods. This in turn provided a
motivation to replace the traditional trial-and-error approach for designing
structures, by calculations based on scientific principles. The only scientific tools
available at that time for designing structures were Newton's laws of motion and
the theory of elasticity. As time went on, these scientific principles were
developed into a unified, practical tool for structural calculations called allowable
stress design [9].

Time period Designing methods

Before 19th century Common sense, trial and error, and rules of
proportion acquired through experience
19th century Calculations based on scientific principles:
(Industrialization and the Newton's laws of motion and
mass-production of iron theory of elasticity in time developed to
and steel)
Now Allowable stress design

29.2 Allowable Stress Design

In allowable stress design, the capability of a structural element is checked by
calculating the elastic stresses in it due to the maximum expected loads, and

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202 29 Track Design

comparing them with allowable stresses. The allowable stress is equal to the
failure stress of the material divided by a safety factor. Safety factors were first
determined by applying allowable stress design methods to successful structures
existing at that time. The safety factors for new materials were estimated in
comparison with those for traditional materials by taking into account the nature
of failure for the new material and its uncertainty or variability. Allowable stress
design formed the basis of structural codes and standards, including track design
standards, for most of the twentieth century.
For the railway structural elements is the track itself. An allowable stress design
flow chart for conventional ballasted track structure design is typically used by the
track design engineer to undertake design of new railway track. This flow chart is
shown in Figure 123 [9].
The traditional method for designing new railway track uses an allowable
stress design approach in determining the load applied to the track. This approach
expresses the wheel load empirically as a function of the static wheel load with a
dynamic factor to account for vehicle and track irregularities.

where:
PD = design wheel load (kN);
P0 = static wheel load (kN); and
= design dynamic increment (always > 1).
29.2 Allowable Stress Design 203

Fig. 123 Track Design Procedure (after Prause et al 1974) [9]

30 The Track Construction (Aiming at High
Performance)

Fig. 124 Early railway track construction

30.1 The Service Life of the Track

As we examined in Chapter 24, track quality is deteriorating due to traffic,
showing various faults. The development of the track quality is shown in Figure
113.
Lets examine the track behaviour over time:
In time t=0 the track has the initial quality Q0 (usually its best quality) (Figure
125). The track begins to deteriorate, so on time t1, at reaching the intervention
limit47, maintenance actions are undertaking, improving the track quality at a level
Q1 (Q1 < Q0). At time t2, the intervention limit is reached again. New maintenance
actions improve the track quality at a level Q2 (Q2 < Q1 < Q0). These maintenance
cycles repeats at smaller and smaller intervals (tn-tn-1 <. < t1-t0). When the
intervals become very short, the track must be replaced, because the maintenance
cost are very high for maintaining the initial performance level (or the
performance level must be decreased): the service life of the track is at its end.
The description of the service life of the track is presented very simplified. In
reality, every track component has its own (usual) service life (par. 30.2).

47
Alert limit or immediate action limit, according the respective maintenance strategy, see
par. 32.9.

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206 30 The Track Construction (Aiming at High Performance)

Fig. 125 The service life of a track

30.2 Typical Life Cycles

On a typical intensively operated main line the following typical service life
apply:

Table 22 Typical life cycles [11]

Action on the track Traffic load Frequency

Tamping 40-70 mgt 4-5 years
Grinding 20-30 mgt 1-3 years
Ballast cleaning 150-300 mgt 12-15 years
Rail renewal 300-1000 mgt 10-15 years
Timber sleeper renewal 250-600 mgt 20-30 years
Concrete sleeper renewal 350-700 mgt 30-40 years
Fastenings renewal 100-500 mgt 10-30 years
Ballast renewal 200-500 mgt 20-30 years
Formation renewal > 500 mgt > 40 years
30.2 Typical Life Cycles 207

On track of the highest category, a work cycle of up to 8 years is the norm.

Ballast cleaning is undertaken only in connection with other major treatment (on
timber sleepered track about every 20 years, on concrete sleepered track about
every 30 years). The service life of rails is usually half the service life of the track
system about 10 years): the limiting factor is not usually that the rail head is fully
worn, but the incidence of metallurgical faults in the running surface. Ballast
renewal normally takes place in connection with full track relaying (at between 20
and 30 years intervals) [11].
31 Track Condition Monitoring

31.1 Introduction
The Infrastructure Manager aims at a high quality track not only when the track is
new (high initial quality), but also during its life. In order to take the right
decisions for maintenance he must have
right standards for monitoring the track condition
proper track condition analysis tools
right track condition datas (information) to be analysed, in order to
understand the track behaviour.
processes to assure the proper working of the whole monitoring system.

Stan-
dards

Tools

Datas

Pro-
cesses

Performance

Fig. 126 Track condition monitoring for high performance

Through a proper analysis of the track condition and behaviour using historical
datas (of an adequate quality level), a failure prediction, and also predictive
maintenance as well as condition- based maintenance can be achieved and
optimised (see Chapter 32).
Condition monitoring data is expected to increase in importance in the next
decade, which will make necessary a higher quality of data collection, analysis
and use.

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210 31 Track Condition Monitoring

31.2 Definition of Infrastructure Monitoring

The UIC Asset Management Working Group [97] gives the following definition
of infrastructure monitoring:
Infrastructure Monitoring is the continuous or periodical measurement
of the condition of infrastructure components and/or subsystems.
Monitoring systems can provide information on the condition or use of the
infrastructure.

31.3 The Monitoring as Part of the Maintenance Strategy

Monitoring is part of the maintenance strategy of the Infrastructure Manager (IM),
and varies depending on the needs and the respective maintenance strategy, as
presenting in the following examples [97]:
Monitoring System
Maintenance Strategy Maintenance actions (track condition
information)
Example 1: High-frequency Monitoring at high
Very small maintenance actions frequency
deteriorations of the with low-impact High accuracy of
track geometry the information
allowed.
Example 2: Clear intervention Monitoring only at
Maintenance strategy levels are set by the intervals in the
based on a good IM order of magnitude
knowledge of the track Maintenance of deterioration
geometry deterioration executed just before time,
danger limits are the required
exceeded accuracy can be
slightly lower than
in Example 1.
Example 3: timely maintenance high accuracy and
No clear maintenance measures condition
strategy and / or no information in small
deterioration analysis is time intervals may
possible or available be needed

Maintenance strategies will be further discussed in Chapter 32.

31.4 The PPIMS, a Top-Do
own Method to Optimise Monitoring 2111

31.4 The PPIMS, a Top-Down Method to Optimise Monitoringg

The UIC Asset Managem ment Working Group [97] proposed a top-down approacch
for track condition monittoring (Figure 127). This approach was named PPIMS S:
The letters stand for Perfo
ormance / Process / Information / Monitoring / Standardd.

Performance requirrements for the asset

Processes that help

h guarantee
performance

Information that feeds processes

Monitoriing systems that provide

condition
n data

Standards that support data collection

Fig. 127 A to
op-down approach for track condition monitoring

This method supports the idea that, in order for Infrastructure Managers tto
improve their performancce, they must take the right decisions and control theeir
processes, supported by the
t right information analysed intelligently, based on thhe
right monitoring data colllected wisely, and applying the right standards [97].

31.4.1 Performancee
Its very important for the Infrastructure Managers to know the performancce
requirements of the track k and its components. Its also important to know thhe
failure modes, impact off failures and to understand the track deterioration annd
finally performance killerrs and cost drivers.
It is essential to recogn
nize how each critical component or system contributes tto
overall company performaance.

31.4.2 Process
Processes are crucial to manage
m the performance of the track and its componennts
and help Infrastructure Managers meet their track performance targets.
212 31 Track Condition Monitoring

Examples of processes are: restoring the track geometry, maintaining switches,

grinding the rails, renewing welds, and cleaning ballast.

31.4.3 Information
For the processes the optimum information is needed.
Optimum information include: precise condition parameters, the desired
accuracy, the frequency of measurement (number of times per year), the accuracy
of the measurement data and the method of analysis.

31.4.4 Monitoring
Methods of collecting the raw condition data are included in the technical
guidelines of the Infrastructure Manager.

31.4.5 Standards
A further standardisation of measurement methods and analysis is needed in order
to apply benchmarking (compare information) with other Infrastructure Managers.

31.5 Examples of Monitoring Optimisation Using PPIMS

31.5.1 Example 1: Rolling Contact Fatigue

Rolling contact fatigue (RCF) phenomenon is analytically examined in par. 19.2
and 19.3.2.
In the study of the UIC Asset Management Working Group [97], a PPIMS
analysis of the phenomenon and the use of appropriate counter-measures have
been examined, as presented below.

31.5.1.1 Performance

The negative impacts of RCF on the performance are connected to:

safety (derailment risk),
reliability (signalling failure upon rail break) and
cost (expensive repair works).

31.5.1.2 Process, Information and Monitoring

The countermeasures (processes) are preventive and corrective rail grinding, rail
replacement and rail lubrication.
31.5 Examples of Monitoring Optimisation Using PPIMS 213

Process 1 Grinding (preventive and corrective)

Information The frequency and the grinding sections are often
determined by estimation and experience. Ideally these
expert knowledge estimates should be based on extensive
deterioration and track use information. Once deterioration
patterns are known, the early warning indicators can be
chosen and monitored. Track tonnage information is
becoming increasingly available through axle load
checkpoint measurements. Deterioration information
requires more attention.
Monitoring Head checks: visual inspection and eddy current
measurement techniques are used.
Squats and other RCF cracks: conventional Ultrasonic
Inspection Vehicle (UIV) or portable equipment is used.

Process 2 Rail replacement (preventive and corrective)

Information Preventive rail replacement: expert knowledge and track
section usage information are required.
Corrective rail replacement: reliable information about the
actual condition of the track must be collected through
monitoring.
Monitoring The minimum rail cross-sectional profiles has to be
measured at intervals determined in the technical guidelines
of the Infrastructure Manager.

31.5.1.3 Standards for RCF

There are not any international standards.

31.5.2 Example 2: Switches and Crossings (S&C)

The following failures are the main ones affecting the performance of S&C [97]:
Excessive force applied to move the switch blade,
Closing signal to the interlocking system not within the tolerance range,
Bad alignment and levelling,
Cracks initiated on the surface or sub-surface (RCF), or internal cracks,
Corrugation and wear,
Ballast deterioration, voids,
Joint deterioration,
Loose or missing fasteners,
Shift in neutral temperature (stress build-up in rail).
These failures lead to a risk of derailment, high maintenance costs, and low
reliability and availability.
214 31 Track Condition Monitoring

Countermeasures (processes) used by Infrastructure Managers are:

Lubrication of the switch blade,
Adjustment of switch settings,
Restoration of the rail surface by welding,
Tamping or ballast cleaning,
Grinding,
Replacement,
Neutralization of the stress build-up.

31.5.3 Example 3: Track Geometry

Track geometry is an important performance parameter for the safe availability of
the network. Like all safety- related parameters, geometry faults are normally kept
at a level ensuring that the risk of derailment is kept low (see par. 26.4.2).
Keeping the risk so low makes track geometry maintenance a cost driver, so
track geometry recording is a main monitoring issue.
Processes for restoring the track geometry are: tamping, ballast cleaning and
renewal, sleeper replacement, joint repair, rail neutralisation, rail replacement, rail
grinding and substructure treatment.

31.6 Parameters Usually Measured for Track Condition

Monitoring
For monitoring the track condition, the following parameters are usually
measured:

31.6.1 Track Measurement

Track Geometry Left/right longitudinal levels
Left/right alignments
Curvature
Gauge
Cant
Twist (2m, 9m or user selected base)

Rail Profile Vertical wear

Horizontal wear
Wear 45

Rail Corrugation Rail corrugation in several wavebands in the range

between 20 and 3000 mm
31.6 Parameters Usually Measured for Track Condition Monitoring 215

Surface Defects Rail breakage

Abrasion from skidding
Shelling
Flaw
Corrugation
Welding anomalies
Rubble imprints
Absence of fastener
Cracks in the sleepers Integrity of sleepers fasteners

31.6.2 Ride Quality

Wheel-Rail Real time Y & Q force monitoring
Interaction Forces Real time Y/Q ratio monitoring
Measuring Bogie lateral acceleration correlation
System

Vehicle Comfort and RMS48 value index calculation,

Accelerations statistical analysis according to UIC Leaflet 518 [70]

Wheel-Rail Angles of contact and equivalent conicity at several

Contact values of standard deviation .
Geometry

48
Root mean square, is a statistical measure of the magnitude of a varying quantity.
32 Track Maintenance

32.1 Introduction
Investments on the railway track refer to assets with very long life. Today many
tracks are over 100 years old. Of course some track elements are replaced during
maintenance actions over the years, but other track elements might remain the
same especially the substructure. In any case, a large amount of maintenance is
necessary to ensure this long life.
Maintenance has the following main targets for the respective issues, as
presented in the following table [47]:

Table 23 The targets of maintenance

Issue Description Target

Safety Probability for accidents As low as possible.
Comfort Comfort refers both to Highest comfort
passengers and freight as well for passengers and
as to the environment (noise freight,
and vibration). minimum impacts
to the environment
Availability The availability of the track Availability as
depends on failures and speed much as possible
restrictions.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 217249.
DOI: 10.1007/978-3-642-36051-0_32 Springer-Verlag Berlin Heidelberg 2013
218 32 Track Maintenance

Table 23 (continued)

Economy A low quality track is a very A cost effective

costly track, since the track track
deterioration affects both track
and trains. At the same time
maintenance is expensive.

Optimization of maintenance is needed to have a track of high performance.

For optimal maintenance the task of highest priority and importance is to make
the right measure at the right time to fulfil the requirements of safety, comfort
and availability in terms of LCC (see SECTION VII). This task requires complete
knowledge about the current condition of the track and also the complete
knowledge about the influence and the effect of the different types of maintenance
on the track.
The goal of effective modern maintenance strategies is to come as close as
possible to this optimum. Decisions about maintenance are based today on
measurements of important parameters which are analysed to give
knowledge about the condition of the track
knowledge about the deterioration behaviour of the track (from models
and/or skilled engineers)
regulations,
budget constraints.

Fig. 128 Variables of railway infrastructure management (see also 25.1)

32.2 A Historical Background for Maintenance 219

Optimal maintenance can add life to the track, saving lots of money. Taking into
account budgetary constraints and since such a large part of budget of the
Infrastructure Manager is spent on maintenance, it is of vital importance to have a
clear and effective maintenance strategy.
The main objective of successful policy is to define maintenance and renewal
rules leading to a sustainable balance between the magnitude of the three main
decisive variables of infrastructure properties (Figure 128) (see also Chapter 25):
Maintenance (Track quality is mainly determined by maintenance)
Capacity (Capacity is a product of infrastructure)
Renewal (the substance of a railway network relates directly to its
renewal cycle)

32.2 A Historical Background for Maintenance

32.2.1 The Transition of a Manual-Labour-Based Economy to

Machine-Based Manufacturing
In the early times when wooden and stone tools were made, the execution of
certain works aimed to keep them in a good working condition. Maintaining those
tools required nothing more than very elementary skill.

Fig. 129 Axe heads found at a 2700 BC Neolithic manufacture site in Switzerland, arranged
in the various stages of production from left to right.

In the later part of the 1700s the previously manual-labour-based economy

transformed gradually into machine-based manufacturing. It started in Great
Britain with the mechanization of the textile industries, the development of iron-
making techniques and the increased use of refined coal [101].
Trade expansion was enabled by improved roads and railways. Steam power
and powered machinery (mainly in textile manufacturing) underpinned the
dramatic increases in production capacity.
Behind the industrial revolution the driving force was specifically the double-
acting Watt steam engine, developed between 1763 and 1775 (Figure 130).
220 32 Track Maintenance

Fig. 130 Watt's steam engine at the lobby of the Higher Technical School of Industrial
Engineering of Madrid

32.2.2 The Industrial Revolution and the Need for Inspection and
Maintenance
The development of high-pressure steam engines started with Richard
Trevithick49, from around 1800. High steam pressures brought about the need for
increased safety awareness, resulting in periodic inspections to assess general
condition and integrity.

Fig. 131 Preserved British steam-powered fire engine an example of a mobile steam
engine. This is a horse-drawn vehicle: the steam engine drives the water pump.

49
Richard Trevithick (13 April 1771 22 April 1833) was a British inventor and mining
engineer from Cornwall. His most significant success was the high pressure steam engine
and he also built the first full-scale working railway steam locomotive. On 21 February
1804 the world's first locomotive-hauled railway journey took place as Trevithick's
unnamed steam locomotive hauled a train along the tramway of the Penydarren
Ironworks, in Merthyr Tydfil in Wales.
32.2 A Historical Background for Maintenance 221

Maintenance became more important during the Industrial Revolution. The

equipment manufactured during the industrial revolution was simple in
comparison to todays equipment, and intended to last for a lifetime.
Patterns of wear and deterioration were simple, and rates of wear were
predictable. It was indeed possible for a skilled worker to understand these
equipment so well that he knew exactly how long specific components would last.
Of course unexpected failures occurred, as manufacturing techniques, quality
standards and especially metallurgy were not well developed. Few of these
machines were built, and it was common to build these according to the
customers needs standardization in terms of parts was not the rule.
Maintenance of this equipment relied greatly on the skill of the worker. He had
to rebuild parts, and often had to manufacture parts from only a sample. It is for
these reasons that the old blacksmith was a popular and prominent person.
The Industrial Revolution brought some very sophisticated equipment about,
for example printing presses and the Jacquard weaving mill. These machines were
examples of mechanical geniality, and were manufactured with great skill and
precision. Maintaining these machines required exceptional skill from the
workers.

Fig. 132 Jacquard Looms in Masson Mill

Maintenance Management, or Physical Asset Management involved only the

people management and a certain degree of quality control.
Successful maintenance was based on skill.

32.2.3 Starting the Mass Production

In the first half of the twentieth century the mass production started, with more
strong competition. This economy transformation had the following parameters:
need to increase profit led to the need to decrease operating cost (larger
volumes had to be produced at lower cost),
need to extend the life of production equipment
pressure to increase the production.
222 32 Track Maintenance

equipment became larger, faster, more automated and more complex.

plants were required to produce more reliable (fewer interruptions) and
for longer periods
capital for investments was required to set up or expand a plant
During this period, needs beyond worker skill developed. To execute maintenance
tasks quicker, more effective and correctly, a high level of technical knowledge
was required.
The dominating maintenance policy in the time period up until the Second
World War, was run to failure [101] (see par. 32.6.1).
Successful maintenance was based on skill and technical knowledge.

32.2.4 Period 1945-1960

During the time period up until the 1960s safety matters became more important
as well as improvement in labour efficiency, and a more preventive maintenance
strategy emerged.
The competition of the Americans and Russians led inter alias to the space race,
with the success of the various space programs heavily dependent upon reliable
operation of equipment for given periods.

Fig. 133 The launch of Sputnik 1 marked the Fig. 134 Launch of Apollo 11 spacecraft
start of the Space Age (on October 4, 1957) to the moon on July 16, 1969

Failure prevention became critical to ensure continued output and reduce cost and
losses. Economic viability of a plant became dependent on the capability to
predict the failure, and to prevent it by doing the relevant maintenance during off-
peak periods.
32.2.6 The Need to a Physical Asset Management 223

The relative cost of maintenance became significant, and attempts were made
to contain it by better management skills.
In the period 1945 -1960, maintenance was characterized by a need for skill,
technical knowledge, and preventive and planning capabilities.

32.2.5 The Period 1960 - Now

Since the 1960s, the concept of Reliability Centered Maintenance (RCM) was
initiated by the Federal Aviation Agency in the USA.
There was a need for a total approach to maintenance in other words the
examination of what is
the most appropriate mixture of maintenance types
for a given equipment type,
in a given operating context.
This most appropriate mixture of maintenance types is often called the
maintenance strategy, applying the most appropriate mixture of preventive,
detective, corrective and adaptive tasks in order to get to the most favourable
balance between cost and availability / reliability.

32.2.6 The Need to a Physical Asset Management

A number of disasters forced industry and regulatory authorities to seriously re-
think what the minimum requirements for good physical asset management are.
The Piper Alpha disaster in the North Sea is perhaps the most notable (Figure
135). On July 6, 1988, as part of routine maintenance, technicians checked the
good condition of the valves. Unfortunately, the technician made a mistake and
forgot to replace one of them. At 10 pm on the same day, a technician began
pressing the button to move the liquid pumps and gas most expensive in the world,
and simultaneously started a horrible accident.
In less than two hours, the fire threw down the entire contents of the building
killed 167 workers and caused the loss of $ 3.4 Billion. Only 62 crew members
survived out of the 229 personnel on board. Many workers were trapped because
rescue helicopters could not approach when confronted with flames 100 meters
high. The majority of those who survived jumped from the platform into the rough
sea.
A public inquiry conducted by the British government under Lord Cullen and
performed combustion/fire tests to investigate possible sources of ignition. Lord
Cullens recommendations were either taken up in legislation or became industry
standards.
224 32 Track Maintenance

Fig. 135 The Piper Alpha disaster

So Publicly Available Specification number 55 (PAS 55) was born, with the
first release published during April 2004.
PAS 55 is an asset-centric approach to physical asset management, with risk
management very much a central theme, and it pulls all the levels of physical
asset management together into one integrated stratified system.

32.4 Track Maintenance and Asset Management

32.4.1 What Is Asset Management?

Asset management is defined in [99] as:
systematic and coordinated activities and practices through which an
organization optimally and sustainably manages its assets and asset
systems, their associated performance, risks and expenditures over
their life cycles for the purpose of achieving its organizational strategic
plan
Organizational strategic plan is defined in [99] as:
overall long-term plan for the organization that is derived from, and
embodies, its vision, mission, values, business policies, stakeholder
requirements, objectives and the management of its risks
The PAS 55 specification can provide guidelines and recommendations on
WHAT TO DO although it does not prescribe solutions on how to do it.
32.4 Track Maintenance and Asset Management 225

Holistic

Sustain- Syste-
able matic

Inte-
grated

Optimal Systemic

Risc-
based

Fig. 136 Key principles and attributes of asset management [99]

The key principles and attributes of asset management are shown in Figure 136
and explained in the following table [99]:
holistic looking at the whole picture, rather than a
compartmentalized approach
systematic a methodical approach, promoting consistent, repeatable
and auditable decisions and actions
systemic considering the assets in their asset system context and
optimizing the asset systems value (including sustainable
performance, cost and risks) rather than optimizing
individual assets in isolation
risk-based focusing resources and expenditure, and setting priorities,
appropriate to the identified risks and the associated
cost/benefits
optimal establishing the best value compromise between competing
factors, such as performance, cost and risk, associated with
the assets over their life cycles
sustainable considering the long-term consequences of short-term
activities to ensure that adequate provision is made for
future requirements and obligations (such as economic or
environmental sustainability, system performance, societal
responsibility and other long-term objectives)
Integrated recognizing that interdependencies and combined effects are
vital to success. This requires a combination of the above
attributes, coordinated to deliver a joined-up approach and
net value.
226 32 Track Maintenance

Effective implementation of asset management requires a disciplined approach

which enables an organization to
maximise value and
deliver its strategic objectives through managing its assets over their
whole life cycles.
This includes
determination of appropriate assets to acquire or create in the first place,
how best to operate and maintain them, and
adoption of optimal renewal, decommissioning and/or disposal options.
The principal benefits of optimized life cycle asset management include:
enhanced customer satisfaction from improved performance and control
of product or service delivery to the required standards;
improved health, safety and environmental performance;
optimized return on investment and/or growth;
long-term planning, confidence and performance sustainability;
the ability to demonstrate best value-for-money within a constrained
funding regime;
evidence, in the form of controlled and systematic processes, to
demonstrate legal, regulatory and statutory compliance;
improved risk management and corporate governance and a clear audit
trail for the appropriateness of decisions taken and their associated risks;
improved corporate reputation, the benefits of which may include
enhanced shareholder value, improved marketability of product/service,
greater staff satisfaction and more efficient and effective procurement
from the supply chain;
the ability to demonstrate that sustainable development is actively
considered within the management of the assets over their life cycles.
Such benefits are most often associated with the application of a number of key
principles and attributes in the design and implementation of the asset
management system (Figure 136)50.
The following enabling elements are also considered to be essential for the
successful implementation of these principles (Figure 137):
an organizational structure that facilitates the implementation of these
principles with clear direction and leadership;
staff awareness, competency, commitment and cross-functional
coordination;
adequate information and knowledge of asset condition, performance,
risks and costs, and the interrelationships between these.

50
These are explained further in PAS 55-2.
32.4 Track Maintenance and Asset Management 227

Infor-
mation

Organi-
zational
stru-
cture Staff and
cross-
functional
coordination

Fig. 137 Elements of successful implementation of asset management

32.4.2 The Structure of an Asset Management System

An asset management system is primarily designed to support the delivery of an
organizational strategic plan (see par. 32.4.1) in order to meet the expectations of a
variety of stakeholders51 (Figure 138) [99].
The organizational strategic plan is the starting point for development of the
asset management policy,
strategy,
objectives and
plans.
These, in turn, direct the optimal combination of life cycle activities to be applied
across the diverse portfolio of asset systems and assets (in accordance with their
criticalities, condition, performance and chosen risk profile of the organization).

32.4.3 The Asset Management and the Infrastructure Manager

The PAS 55 specification is rapidly gaining ground as the standard of choice for
the management of physical assets. It does not define the ideal asset
management system, but rather provides a set of minimum requirements to which
the asset management system should conform.

51
Stakeholders, see Chapter 8.
228 32 Track Maintenance

Fig. 138 Planning and implementation elements of an asset management system [99]

The Infrastructure Manager has to balance between cost and performance

(Figure 139).
32.4 Track Maintenance and Asset Management 229

Fig. 139 Managing the balance (UIC Asset Management Working Group)

If you dont apply asset management you will end up being considered either
too expensive or not good enough52.

32.4.4 Integration with Other Management Systems

The implementing of the PAS 55 specification would enable an organization to
align or integrate its asset management system with other related management
systems. In order to enable organizations to develop integrated management
systems, the requirements and structure of this PAS are arranged within the Plan-
Do-Check-Act (PDCA) framework as follows (see Figure 140):

Plan establish the asset management strategy, objectives and plans

necessary to deliver results in accordance with the organization's
asset management policy and the organizational strategic plan
Do establish the enablers for implementing asset management (e.g.
asset information management system(s)) and other necessary
requirements (e.g. legal requirements) and implement the asset
management plan(s)
Check monitor and measure results against asset management policy,
strategy objectives, legal and other requirements; record and
report the results
Act take actions to ensure that the asset management objectives are
achieved and to continually improve the asset management
system and asset management performance
Fig. 140 The Plan - Do - Check - Act framework

52
UIC, Infrastructure Asset Management Seminar, Paris, 19th May 2009 (Asset
Management Working Group).
230 32 Track Maintenance

32.5 Definitions
For a common understanding it is of great importance to provide definitions of the
following key terms.

32.5.1 Maintenance
British Standard Glossary of terms (3811:1993) defines maintenance as:
the combination of all technical and administrative actions, including
supervision actions, intended to retain an item in, or restore it to, a state in
which it can perform a required function.
Another definition for maintenance is the following
maintenance is a set of organised activities that are carried out in order to
keep an item in its best operational condition with minimum cost acquired.

32.5.2 Maintenance Strategy

Maintenance strategy can be described as an arrangement of the types of
maintenance, which is to be done to the track and its components, at a specific
rate or frequency, under specific operating conditions.

32.5.3 Maintenance Plan

The maintenance plan presents a description of the preventive and predictive
maintenance and inspection tasks to be performed at maintenance objects. The
maintenance plans describe the dates and scope of the tasks.
A maintenance plan in the rail infrastructure sector is a yearly schedule
defining when, where and by whom (Infrastructure Managers and/or contractor) a
specific type of rail infrastructure maintenance has to be carried out.
The maintenance planning is only related to renewal activities and preventive /
predictive maintenance, since corrective maintenance cannot be planned in
advance [20].

32.5.4 Maintenance Planning Process

Maintenance planning process is the process of identifying maintenance needs,
its own and the contractor capacities, material availability and available budget
in order to provide useful and realistic data input for rail infrastructure
maintenance planning systems.
32.6 Types of Maintenance Strategies 231

32.5.5 Upgrading
53
In EU Directive 2008/57 upgrading means any major modification work on a
subsystem or part subsystem which improves the overall performance of the
subsystem.

32.5.6 Renewal
54
In EU Directive 2008/57 renewal means any major substitution work on a
subsystem or part subsystem which does not change the overall performance of
the subsystem
The term renewal includes all activities involved in replacing a rail
infrastructure part or object by a same or similar type of rail infrastructure part
or object.

32.6 Types of Maintenance Strategies

There are many general types of maintenance strategies, such as (see Figure 141):
Run to Failure Maintenance (RTF)
Preventive Maintenance (PM) 55
Corrective Maintenance (CM)
Predictive Maintenance (PDM)
Any combination of these strategies can apply in practice to the asset (the track).
The process of developing a maintenance strategy is all about:
Defining an intelligent and functional way of determining the appropriate
types of maintenance,
Determining how often maintenance is to be done to our asset.
These strategies would best contribute to the successful realization of the
companys goals.
As shown in the above figure "Inspection" is seen as a separate activity56.

53
DIRECTIVE 2008/57/EC OF THE EUROPEAN PARLIAMENT AND OF THE
COUNCIL of 17 June 2008 on the interoperability of the rail system within the
Community.
54
DIRECTIVE 2008/57/EC OF THE EUROPEAN PARLIAMENT AND OF THE
COUNCIL of 17 June 2008 on the interoperability of the rail system within the
Community.
55
Also known as time- or interval-based maintenance.
56
Generally, inspection can be carried out on before, during or after other maintenance
activity [EN 13306:2001].
232 32 Track Maintenance

Fig. 141 Breakdown of different maintenance strategy types

32.6.1 Run to Failure Maintenance (RTF)

It is the oldest type of maintenance.
The logic of run to failure management is simple and straightforward: When a
facility or an asset breaks down, fix it.
It includes the required repair, replacement, or restore action performed on a
machine or a facility after the occurrence of a failure in order to bring this
machine or facility to at least its minimum acceptable condition.
Disadvantages:
1. Its activities are expensive in terms of both direct and indirect cost.
2. Using this type of maintenance, the occurrence of a failure in a
component can cause failures in other components in the same
equipment, which leads to low production availability.
3. Its activities are very difficult to plan and schedule in advance.
This type of maintenance is useful in the following situations:
1. The failure of a component in a system is unpredictable.
2. The cost of performing run to failure maintenance activities is lower
than performing other activities of other types of maintenance.
3. The equipment failure priority is too low in order to include the
activities of preventing it within the planned maintenance budget.
32.6 Types of Maintenance Strategies 233

32.6.2 Preventive Maintenance (PM)

Preventive Maintenance is a set of activities that are performed on plant
equipment, machinery, and systems before the occurrence of a failure in order to
protect them and to prevent or eliminate any degradation in their operating
conditions.
British Standard 3811:1993 Glossary of terms defines preventive maintenance
as:
the maintenance carried out at predetermined intervals or according to
prescribed criteria and intended to reduce the probability of failure or the
degradation of the functioning and the effects limited.
By this type of maintenance, work is performed out at predefined intervals on a
routine basis regardless of whether functionality or performance of the asset is
degraded. As the assets age, the frequency and number of checkpoints may need
to be re-evaluated. These tasks require a relatively constant amount of labour and
materials.
The factors that affect the efficiency of this type of maintenance are:
1. The need for an adequate number of staff in the maintenance department
in order to perform this type of maintenance.
2. The right choice of production equipment and machinery that is suitable
for the working environment and that can tolerate the workload of this
environment.
3. The required staff qualifications and skills, which can be gained through
training.
4. The support and commitment from executive management to the PM
programme.
5. The proper planning and scheduling of PM programme.
6. The ability to properly apply the PM programme.

32.6.3 Corrective Maintenance (CM)

In the British Standard 3811:1993 Glossary of terms, corrective maintenance is
defined as:
the maintenance carried out after recognition and intended to put an item
into a state in which it can perform a required function.
In this type, actions such as repair, replacement, or restore will be carried out after
the occurrence of a failure in order to eliminate the source of this failure or reduce
the frequency of its occurrence.
Corrective maintenance has several requirements in order to be carried out
effectively:
1. Accurate identification of incipient problems.
2. Effective planning which depends on the skills of the planners,
234 32 Track Maintenance

3. Availability of the required labour skills, specific tools, parts and

equipment.
4. Proper repair procedures.
5. Adequate time to repair.
6. Verification of repair.

32.6.4 Predictive Maintenance (PDM)

Predictive maintenance (PDM)57 techniques help determine the condition of in-
service equipment in order to predict when maintenance should be performed.
Every rail infrastructure object has an expected lifespan, which is adjusted after
observations of the track. This allows a rail Infrastructure Manager to predict the
maintenance date in advance.
This method uses analyses, monitoring, diagnoses and trends. This type of
preventive maintenance is carried out each time the value of a given system
parameter (nearby) exceeds a predetermined value. The preventive maintenance
date can be predicted with the help of these techniques since these can measure the
deterioration of the track.
This approach offers cost savings over routine or time-based preventive
maintenance, because tasks are performed only when warranted.

Fig. 142 Changes in maintenance philosophy

57
Also known as condition-based maintenance.
32.7 The Effective (Rational) Maintenance 235

The main value of predictive maintenance is to allow convenient scheduling of

corrective maintenance, and to prevent unexpected equipment failures. The key is
"the right information in the right time". By knowing which equipment needs
maintenance, the maintenance work can be better planned (spare parts, people
etc.). Other values are increased equipment life time, increased plant safety, fewer
accidents with negative impacts on environment, an optimised spare parts
handling, etc.
The ultimate goal of PDM is to perform maintenance at a scheduled point in
time when the maintenance activity is most cost-effective and before the
equipment loses performance within a threshold.
Figure 142 presents the changes in maintenance philosophy.

32.7 The Effective (Rational) Maintenance

32.7.1 The Old Strategy Concept

We start presenting the old strategy concept, which is applied till now by several
Infrastructure Managers.
Today, maintenance is largely empirical in the planning of maintenance in the
short or medium term and executed
in a predetermined context (e.g. constant maintenance cycles) or
"extinguishing", i.e. interventions are executed to remove the symptoms
of the faults rather than their causes.
The result is the rapid recurrence of faults and constant and costly maintenance
cycles. Another disadvantage of this practice is that maintenance is often not
necessary (wasting of resources) and additionally in some cases it burdens the
asset rather than benefits.
It should be noted that it is uncertain whether the application of such periodic
maintenance can secure the reliability of the asset in the long term.
Consequently, there is need for an effective maintenance strategy, which will
ensure the required functionality of the track, starting at the design phase of the
asset.

32.7.2 Evaluation of Current (Old) Maintenance Strategy

When a railway track is constructed, function and capacity is purchased, but
with it a lifetime of maintenance requirements and the associated cost is acquired.
This cost, together with the expected availability and reliability, will play a
significant role in the success of the business of the Infrastructure Manager for
many years to come [101].
All the elements of the total approach come together during the operation in
the asset lifecycle. The key questions here are:
236 32 Track Maintenance

Are we performing all maintenance tasks in a quality manner?

Are skill levels of the maintenance staff appropriate?
Are replacement parts available just in time?
Does our staff have access to the required technical knowledge?
Are we continually learning, and using this knowledge to improve the
maintenance strategies?
Do all of the above contribute to the expected / desired levels of
availability and reliability, with a high level of predictability of cost?
Are we preserving the integrity and value of the asset base, thereby
looking after the capital invested by the investors?
As mentioned, in most of the cases the Infrastructure Managers are applying the
old, traditional management strategy.
In order to evaluate the efficiency of this strategy, the following key questions
should be answered:
QUESTIONS: Does the current maintenance strategy ensure
reliable maintenance?
cost effectiveness of maintenance?
high track quality for a long time (track durability)?
that maintenance will be done when really needed and that this will
occur as often as it really should?

FINALLY, DOES THE CURRENT STRATEGY ENSURE THE

EXECUTION OF A RATIONAL MAINTENANCE?

32.8 The Future Maintenance Strategy

The future maintenance strategy will be seen (Figure 14358)
Rational (reliable, cost effective, assuring long durability, with best use
of the available resources people, equipment and money)
Based on good track (functional) knowledge and research, especially on
specific problems
Predictive
The following tools will be used to fulfil the above mentioned targets:
(1) RAMS analysis (see SECTION VII)
(2) LCC tools (see SECTION VII)
(3) Track behaviour analysis
(4) Track quality prediction models

58
Based on Prof. Peter Veit (Technical University of Graz) seminars.
32.9 The Limit Levels for the Track Defects 237

Fig. 143 The transition from the "old" strategy to a "future" maintenance strategy

The transition procedure to a rational maintenance is shown in Figure 144:

Fig. 144 Transition procedure to a rational maintenance

32.9 The Limit Levels for the Track Defects

Before examining the impact of the different maintenance policies on the service
life of the track in dependence with the maintenance interventions and the relevant
limits of the track defects, we have to define those limits.
238 32 Track Maintenance

The Technical Specification of Interoperability (TSI) relating to the

Infrastructure sub-system of the trans-European high-speed rail system59
defines60:
Immediate Action Limit (IAL): refers to the value which, if exceeded,
leads to the Infrastructure Manager taking measures to reduce the risk of
derailment to an acceptable level. This can be done either by closing the
line, reducing speed or by correction of track geometry.
Intervention Limit (IL): refers to the value, which, if exceeded, requires
corrective maintenance in order that the immediate action limit shall not
be reached before the next inspection;
Alert Limit (AL): refers to the value which, if exceeded, requires that
the track geometry condition is analysed and considered in the regularly
planned maintenance operations.

32.10 The Service Life of the Track

The service life of an asset is a technical parameter that depends on design,
construction quality, operations and maintenance practices, use, and
environmental factors.
There are several definitions for service life: the service life of an asset is the
(1) total period during which it remains in use, or ready to be used, in a
productive process61.
(2) the assumed period for which a structure or part of it is to be used for
its intended purpose with anticipated maintenance but without major
repair being necessary 62.
(3) a period of time after installation during which a structure (or its parts)
meets or exceeds the performance requirements63.
Based on the above we define service life of a track as the following:
Service life of a track is the period of time over which the track provides
adequate performance and function with anticipated maintenance but
without major repair being necessary.
Listed below are some whole life definitions.
Economic Life. The period of time over which an asset will have
economic value that is greater than its upkeep and operating costs, or is
considered the lowest cost alternative for satisfying a particular need.

59
EUROPEAN COMMISSION DECISION of 20 December 2007.
60
The same definitions are given in Euronorm EN 13848-5 (2008): Railway applications.
Track. Track geometry quality. Geometric quality levels. Plain line.
61
Definition by the Organisation for Economic Co-operation and Development (OECD)-
Glossary of Statistical Terms.
62
EN 1990:2002.
63
See [103].
32.11 The Different Maintenance Policies and the Impact 239

Design Life. The period of time for which an asset is expected to

perform according to the technical specifications to which it was
produced.
Useful Life. The estimated time, in years, that an asset can be expected
to serve its intended function if properly constructed in its present
application or installation.
Service Life. See above.
Physical Life. The time it takes for an asset to wear out or fail to perform
its intended functions because of physical deterioration. The physical life
is normally longer than the economic life. Physical life accounts for
physical deterioration, not functional or environmental obsolescence.
Technological Life. The number of years for which replacement parts
remain available for repairs and maintenance to an asset after which the
asset must be replaced with new technology.
Whole Life. The entire life of an asset from the time its components are
first manufactured until the time the asset if finally retired from service
entirely.
Shelf Life. The period of time during which certain Maintenance Stock
32.11 The Different Mainte nance Policies a nd t he I mpact
can be stored and remain suitable for use.

32.11 The Different Maintenance Policies and the Impact on

the Service Life of the Track
32.11 The Different Mainte nance Policies a nd t he I mpact

(Maintenance intervention policies or maintenance policies are here defined

as the basic principles by which an Infrastructure Manager is guided in doing
maintenance of his assets)
The maintenance policy has a significant influence on the service life of the
track. In the following we present in a simplified form the maintenance policies of
three imaginary Infrastructure Managers, showing how they influence track
performance64.

32.11.1 Maintenance Policy of INFRASTRUCTURE

MANAGER A
After a new track is given to commercial operation, the track deterioration process
starts, which means that the defects of the track start to grow.
Infrastructure Manager A intervenes with the appropriate maintenance actions,
when the track defects exceed the Alert Limit AL, but before they reach the
Intervention Limit IL (Figure 145). After maintenance, the magnitude of the
defects is decreased (closed to those of the new track).
The deterioration and maintenance process is continued over time as a cyclic
process, but the maintenance intervals become shorter and shorter. When the

64
Based on Prof. Peter Veit (Technical University of Graz) seminars.
240 32 Track Maintenance

maintenance cycles becomes very short, the maintenance costs increase and the
service life of the track is on its end (the track doesnt provide any more adequate
performance and function with anticipated maintenance see par. 32.10), and
renewal of the track is necessary.

Fig. 145 Maintenance Policy of Infrastructure Manager A

32.11.2 Maintenance Policy of INFRASTRUCTURE

MANAGER B
Infrastructure Manager B intervenes with the appropriate maintenance actions,
when the track defects exceed the Intervention Limit IL, but before they reach the
Immediate Action Limit IAL (Figure 146). After execution of maintenance work,
the magnitude of the defects is decreased (their magnitude remains between the
AL and IL limit).
The deterioration and maintenance process is continued over time as a cyclic
process, but the maintenance intervals become shorter and shorter. When the
maintenance becomes very costly, the service life of the track is at its end, and
renewal of the track is necessary.
The service life of the track maintained with Maintenance Policy of
Infrastructure Manager B is shorter than the respective service life of the track of
Infrastructure Manager A.
32.11 The Different Maintenance Policies and the Impact 241

Fig. 146 Maintenance Policy of Infrastructure Manager B

32.11.3 Maintenance Policy of INFRASTRUCTURE

MANAGER C
Infrastructure Manager C intervenes with the appropriate maintenance actions,
when the track defects reach the Immediate Action Limit IAL (Figure 147). After
execution of maintenance work, the magnitude of the defects is decreased (their
magnitude remains between the IL and IAL limit).

Fig. 147 Maintenance Policy of Infrastructure Manager C

242 32 Track Maintenance

The deterioration and maintenance process is continued over time as a cyclic

process, but the maintenance intervals become shorter and shorter. When the
maintenance becomes very costly, the service life of the track is at its end, and
renewal of the track is necessary.
Track quality is generally not good, but safe due to a high maintenance
frequency.
The service life of the track maintained with Maintenance Policy of
Infrastructure Manager C is shorter than the respective service life of the track of
Infrastructure Managers B and A. The track is very costly to maintain, due to a
very frequent maintenance and the limited durability of the track, which leads to
the necessity of a renewal of the track earlier than in the case of Infrastructure
Manager A and B (in other case the track performance must be reduced, i.e. by
setting speed restrictions).

32.11.4 Summary of Maintenance Policies of

INFRASTRUCTURE MANAGERS A, B and C
The following table summarizes the maintenance policies of Infrastructure
Managers A, B and C:
Infra-
Impact on
structure Impact on track
Maintenance Policy service life of
Manager quality
track
(IM)
Track is maintained
The longest
when the magnitude of Track quality
IM A possible service
track defects is between remains good
life is reached
AL and IL
Track is maintained The service life
when the magnitude of Track quality is of the track is
IM B
track defects is between moderate shorter than that
IL and IAL of IM A
The service life
Track quality is not of the track is
Track is maintained good, but safe due much shorter than
IM C when the magnitude of to a high that of IM A.
track defects reach IAL maintenance The track is very
frequency costly to
maintain.

13.12 Cost Savings as a Result of Effective Maintenance Policy

Minimizing the track maintenance cost can be achieved by choosing the optimum
time for track renewal, as shown in the following example, showing the
maintenance policy of two Infrastructure Managers (IM).
32.13 Track Maintenance Planning 243

After a new track is given to commercial operation, the track deterioration

process starts, which means that the defects of the track start to grow (see par.
32.11) and maintenance works start. The track and its components are aging, so
the maintenance costs are growing (cost function C(t) in Figure 148).
At time t1, Infrastructure Manager B (IM B) decides to renew the track due to
the fact that maintenance costs start to increase rapidly. After completion of the
works at time t2, the maintenance costs are almost equal to that of the new track,
and maintenance costs start growing from this new start point (following a new
cost function C*(t).

Fig. 148 Choose of the optimum time for track renewal, in order to minimize the
maintenance costs

Infrastructure Manager A (IM A) continues to maintain his track, at a high cost

way (following cost function C(t)).
Comparing the cost resulting from the maintenance policies of both
Infrastructure Managers, we consider a significant cost saving for IM B (dark area
in Figure 148).

32.13 Track Maintenance Planning

32.13.1 Introduction
The Infrastructure Manager needs to set up a realistic and efficient maintenance
plan, taking into account [20]
the condition of the current infrastructure,
assigned track possessions,
budgets,
material availability and
contractors capacity.
244 32 Track Maintenancce

The objectives of track maintenance

m planning can be defined as follows (Figurre
149) [18]:
What is the current condition of the
Track quality indices
track?
What will be needed d in the short term
Forecasting of
as well as the long term
t as far as
maintenance actions
maintenance is conccerned?
Prioritization of
What should be don
ne first?
maintenance activities

Fore-
Track casting
quality

Prioriti
-zation

Maintenance planning
Fig. 149 Paraameters for the planning of the track maintenance

RAMS and LCC analy ysis will play a major role in track maintenance planning,
in order to fulfil the abov
ve mentioned objectives. A detailed presentation is giveen
in SECTION VII.
A track maintenancee optimization is based on a Track Maintenancce
Management (TMM) sysstem that handles the amount of information needed tto
make the optimal mainten nance decisions over time. The central components of thhe
TMM are
asset inventory,
condition measurres,
maintenance inpu ut history,
traffic data,
cost information.
With this information as well as track deterioration models, the system can bbe
ntenance activities.
used for selection of main
32.13 Track Maintenance Planning 245

32.13.2 Track Segmentation

For track maintenance an enormous amount of data is needed. To effectively
manage and use all these data in order to analyse them and model the track
behaviour, a solution is to divide the linear infrastructure into homogenous
segments with similar track characteristics and similar age and track
history (segmentation process) [2].
For the track segmentation following characteristics types are usually taken into
account:
track component types
layout
operational characteristics,
presence of condition-interfering objects (e.g. bridges, turnouts, level-
crossings, culverts),
65
An example is shown in Figure 150 , where following characteristics are used:
o Traffic load (t/day)
o Radius [m]
o Rail profile
o Sleeper type
o Track construction date
o Last maintenance
o Subgrade type
o Characteristic positions (bridges, turnouts, level-crossings, culverts
etc.)
Every single track segment is treated as a separate organism with its own unique
behaviour characteristics. The behaviour of every such segment can be modelled
independently.
The criteria suggested identifying comparable track segments (excluding
switches and crossings) are ([2]):
Type and quality of rail
Type and quality of fastenings
Type and quality of sleepers
Ballast
Subgrade quality
Curve radius
Track gradient
Installation date of the components.
Traffic speed
Axle load of trains / locomotives
Characteristic positions (bridges, turnouts, level-crossings, culverts etc.)

65
Based on Prof. Peter Veit (Technical University of Graz) seminars.
246 32 Track Maintenance

Maintenance history on the analysed segment (operations performed and

scheduling):This item should include inspection frequency, rail grinding
frequency, ballast cleaning and tamping frequency

Fig. 150 Example of track segmentation

After the segmentation, additional information (with no significant influence on

the segments behaviour), can be assigned to the segments. The different segments
will behave in their own way as different organisms, which suffer from
different illnesses (defects/deteriorations) and recover from them by being
treated by different medicine (maintenance and renewal works) in a different
way [2].
Keeping historical data about past behaviour, the segments deterioration
behaviour can be modelled, so that the datas can be projected into the future to
predict future behaviour (see Chapter 27).
32.14 Maintenance Actions 247

By modelling the future behaviour, the system can define the moment when
certain (user-defined) limit values (thresholds) will be reached, signifying the
moment when certain maintenance and renewal works (or other) activities should
be performed.

32.14 Maintenance Actions

Various types of maintenance actions are presented as encoded in a relevant
technical specification of the Hellenic Railways Organization66:

100- Superstructure Components

110 - Rails 111 Grinding of new rails

112 Grinding of rails already in use

113 Replacement of single rails

Cutting of local depression of the running
114
surface at the rail ends (jointed track)
115 Restoration of a rail break

116 Retreading or replacement of welds

120-Fastening 121 Rearrangement of elastic pads
system
122 Replacement of elastic pads

123 Fastening maintenance

124 Fastening replacement

130-Sleepers 131 Sleeper replacement
140-Ballast 141 Ballast completions where needed

142 Ballast cleaning

150-Divers Fixing the position of the anti-creeping and the
151
sleeper anchoring devices
Replacement of the anti-creeping and the
152
sleeper anchoring devices
Replacement of damaged components
153
materials

66
Technical Specification E07.01.20 Maintenance of the track superstructure General
Principles, 2011.
248 32 Track Maintenance

200- Track Devices

210- 211 Check of the condition (geometry and components)
Switches
and Checking the safety distances of the switches / crossings
212
crossings and of the their mechanisms
213 Tightening of the fastenings

214 Geometry restoration

215 Replacement of damaged components materials

220- Inspection of the condition of the expansion joints and
221
Expansion respective maintenance
joints 222 Check and adjustment of the expansion gap

223 Tightening of the fastenings

224 Lubrication of the expansion joint

300 Drainage
301 Cleaning of drains and culverts

400 Track Geometry

401 Track geometry restoration

402 Restoration of track deformation

500 Track Laying Characteristics

501 Track gauge rectification

502 Rectification of the verticality of sleepers

503 Rectification of the sleepers spacing

504 Rectification of the joint gaps (jointed track)

600 Securing the Track Position

Inspection and rectification of the points securing the
601
track position
32.14 Maintenance Actions 249

700 Rail Signs

701 Inspection and rectification of the signs along the track

702 Restoration of the visibility of railway signals

800 Securing the Loading Gage

801 Removal of obstacles to secure the loading gauge

900 Level Crossings

901 Maintenance of level crossings
Removal of obstacles in the area of level crossings to
902
ensure visibility

1000 Safety Facilities for Track Personnel and the Public

Inspection and maintenance of handrails, damages to
1001
platforms etc.

1100 - Extraordinary Events

Track restoration after extraordinary event (e.g.
1101
derailment, flood embankments, slope collapses etc.)
 Part D
Tools and Methods for an
Effective, High Performance
Railway Track

Don't lower your expectations to meet your performance. Raise

your level of performance to meet your expectations. Expect the
best of yourself, and then do what is necessary to make it a
reality.

Ralph Marston
Section VII: Tools for Rational Maintenance
(RAMS and LCC)

You can't expect to meet the challenges of today

with yesterday's tools and expect to be in
business tomorrow.
Production is not the application of tools to materials, but
logic to work
Peter F. Drucker

In this section tools for the optimization of the track construction regarding
technical and economic requirements are presented. LCC and RAMS technology
are two acknowledged methods for assisting the optimization process regarding
those requirements.
33 Introduction to LCC and RAMS

Key terms:
Optimization process, best technical-operating solution, most
economical solution, engineering economics technique, feeling for the
cost impact of our decisions, supporting method for professional
decision making, quality of service, qualitative and quantitative
indicator, continuous process, risk, categories of risk, risk analysis,
probability of occurrence of an event, consequence of a hazard,
hazard severity levels, "frequency - consequence" matrix, the right
product at the right price within the agreed timetable, critical success
factors, lowest long term cost of ownership, cost effective solution vs.
best solution

Optimization of the track construction or the track components regarding technical

and economic requirements is essential for railway companies to fit the market
and to compete against other means of transport. LCC671 and RAMS682 technology
are two acknowledged methods for assisting the optimization process regarding
those requirements.
Why is the LCC and RAMS analysis important for decision making?
Every day we make decisions: we make investments for infrastructure and
vehicles, we choose the supplier, we try to stretch the maintenance interval or we
even want everything to remain constant. Every one of these decisions is cost
related. The stakeholders (see Chapter 8) demand today not only for the best
technical-operating but also for the most economical solution.
The current decisions in the railway sector have effects over a long period in
the future. So, we need a feeling for the cost impact of our decisions and a
supporting method for professional decision making. In this regard LCC and
RAMS are the appropriate methods.
In the case of the optimization of an existing system it is done mainly on the
basis of costs. But the costs are related to the investment, the cost for operation,
maintenance and non-availability. In case of funding by the government we may
have to look for social economics. The relation between technical and economic
aspects together with future requirements often makes a traceable assessment
difficult.

67
Acronyms for Life Cycle Cost, see Chapter [36].
68
Acronyms for Reliability, Availability, Maintainability, Safety, see Chapter [34].

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 255257.
DOI: 10.1007/978-3-642-36051-0_33 Springer-Verlag Berlin Heidelberg 2013
256 33 Introduction to LCC and RAMS

Targets for the optimizations of the track system are

Technical and operational performance of components,
Maintenance procedures,
Maintenance strategies.
This chapter describes the utilisation of RAMS and LCC methodologies in track
maintenance planning.
For the Infrastructure Manager, the key issues for the track maintenance are:
1st Issue: Which is the best way to maintain the track?
2nd Issue: How can we be assured, that over time the current maintenance
practice is the most effective one?

33.1 The 1st Issue: Which Is the Best Way to Maintain the
Track?
To the 1st issue (which is the best way to maintain the track?) following questions
must be answered:
(1) When should the track be maintained?
(2) How can railway traffic be least disturbed?
(3) What maintenance activities should be performed?
(4) How can the hazards be minimized during the execution of maintenance
works?
The answer to the above questions leads to the RAMS analysis, as presented in the
table below (a deeper analysis follows):

Table 24 Basics of RAMS Analysis

Questions to 1st Issue Tool Key word

(1) When should the track Reliability analysis
be maintained? Reliability
(Predict when to take
maintenance actions
depending on the failure
modes of the track.)
(2) How can railway traffic Availability analysis
be least disturbed? Availability
(Predict the frequency and
duration of track possession
periods due to maintenance
actions carried out on the
track.)
33.2 The 2nd Issue 257

Table 24 (continued)

(3) What maintenance Maintainability

activities should be analysis Maintainability
performed?
(Determine what
maintenance actions need to
be taken on the event of
failures occurring on the
track and how much time is
taken to carry out those
maintenance actions.)
(4) How can the hazards be Safety analysis
minimized during Safety
maintenance works?
(Estimate the risk of carrying
out different maintenance
actions on the track in terms
of severity and cost.)

Proper RAMS analysis can help in effective maintenance planning of the track
infrastructure and meeting maintenance objectives.
33.2 The 2 nd Iss ue

33.2 The 2nd Issue: How Can It Be Ensured That over Time the
Current Maintenance Practice Is the Most Effective One?
LCC analysis is a method for calculating the total cost of a system or a product
over its total lifespan. A very central target is the systematic process for evaluating
and quantifying cost impacts. LCC analysis is primary a method for decision
making through economic assessment, comparison of alternative strategies and
design. Within a LCC analysis all payments - also future payments - will be
referred to a reference date using the discount rate (see par. 36.3).
A life cycle cost analysis calculates the cost of a system or product over its
entire life span. The method is one of the most recommended for investment
projects, assessment of different solutions over the whole life cycle and
comparison of various strategy options.

LCC analysis is primary a method for decision making through economic

assessment and comparison of alternative strategies and design.
34 The RAMS
S Analysis

Key terms:
Quality of service, qualitative and quantitative indicator, continuouss
process, risk analysiss, probability of occurrence of an event, consequence off
the hazard, hazard severity
s levels, "frequency - consequence" matrix, risk,,
categories of risk, the
t right product at the right price within the agreedd
timetable, critical success factors, goals for maintenance

34.1 Introduction
Railway RAMS is a majo or contributor to the quality of service provided by thhe
Infrastructure Manager.
A system can be defiined as an assembly of sub-systems and componentts,
connected together in an a organised way, to achieve specified functionalityy.
Functionality is assignedd to sub-systems and components within a system. Thhe
behaviour and state of th he system is changed if the sub-system or componennt
functionality changes. A system responds to inputs to produce specified outputts,
whilst interacting with an environment.

Concepts

Tech
hni- RAMS Methods
quees

Tools

Fig
g. 151 Constituents to achieve RAMS

K. Tzanakakis: The Railway Tra

ack and Its Long Term Behaviour, STTT 2, pp. 259274.
DOI: 10.1007/978-3-642-36051-0_34 Springer-Verlag Berlin Heidelberg 2013
260 34 The RAMS Analysis

RAMS is a characteristic of a system's long term operation and is achieved by

the application of established engineering concepts, methods, tools and techniques
throughout the lifecycle of the system (Figure 151).
The RAMS of a system can be characterised as a qualitative and quantitative
indicator of the degree that the system (or the sub-systems and components
comprising that system) can be relied upon to function as specified and to be
both available and safe.
The goal of an Infrastructure Manager is to achieve a defined level of track
quality in a given time, safely by execution of cost-effective maintenance actions.
Railway RAMS describes the confidence with which the system can guarantee the
achievement of this goal.
LCC analysis will help in optimising the cost-effectiveness of maintenance
actions derived from RAMS analysis. Cost estimations through LCC help in
foreseeing the cost implications of maintenance actions over the service life of
the track not just in the short term.

34.2 Definitions
(The definitions are taken from Euronorm EN 50126-1)

The ability of a product to be in a state to perform a

Availability: required function under given conditions at a given
instant of time or over a given time interval assuming
that the required external resources are provided.
The probability that a given active maintenance action,
Maintainability: for an item under given conditions of use can be carried
out within a stated time interval when the maintenance
is performed under stated conditions and using stated
procedures and resources. (IEC 60050(191))
The probability that an item can perform a required
Reliability: function under given conditions for a given time interval
(t1, t2). (IEC 60050(191))
Freedom from unacceptable risk or harm
Safety:
A documented set of time scheduled activities, resources
RAM and events serving to implement the organisational
programme: structure, responsibilities, procedures, activities,
capabilities and resources that together ensure that an
item will satisfy given RAM requirements relevant to a
given contract or project. (IEC 60050(191)).
An acronym meaning a combination of Reliability,
RAMS: Availability, Maintainability and Safety.
Hazard: A physical situation with a potential for human injury.
34.3 Key Values for System Operational States 261

34.3 Key Values for System Operational States

The following key values describing the system operational states have been
identified in [24][24.10]:

Reliability MTBF Mean Time Between Failure (for corrective

maintenance)
MTBM Mean Time Between Maintenance for preventive
maintenance

MTBF and MTTF: Often used to describe equipment or

system reliability. Of use when calculating maintenance
costs. Meaningful even if the failure rate is not constant.

Train delaying failures

Availability Train delay hours
Maintainability MTTR Mean Time to Repair
Often expressed in percentile terms such as the
95% repair time shall be 1 hour. This means that
only 5% of the repair actions shall exceed 1 hour.
MDT Mean Down Time
In organizational management, mean down time
(MDT) is the average time that a system is non-
operational.
This includes all time associated with
repair, corrective and preventive
maintenance,
self-imposed downtime, and
any logistics or administrative
delays.
The inclusion of delay times distinguishes mean
down time from mean time to repair (MTTR),
which includes only downtime specifically
attributable to repairs.
NAMT Mean Active Maintenance Time
MMH Mean Maintenance Hour (MMH)
Safety Hazard Rate
Number of derailment due to asset
Number of accidents
262 34 The RAMS Analysis

34.4 RAMS Elements

The individual performance indicators are here described. These indicators
determine the performance for an asset in terms of reliability, availability,
maintainability and safety.
In Systems Engineering, RAMS is providing an indication of the performance
of the designed systems, or a quantitative indication of the performance of an
asset. RAMS can be used by the Infrastructure Manager to demand certainty from
the contractors that the chosen design solution will meet the requirements over a
systems life cycle.
The maintenance decision process is a continuous process to make the
maintenance decisions effective while meeting the RAMS targets laid for the track
system:
Reliability and maintainability analysis affect the initial maintenance
decisions.
Availability and safety parameters are calculated from reliability and
maintainability analysis as well as the maintenance decisions.
Availability and safety analysis give feedback to reliability and
maintainability analysis and maintenance decisions [111].

34.4.1 Failure
Before presenting the various reliability parameters it is necessary to define the
term Failure:
Failure is non-conformance to some defined performance criterion
[106]
Or, failure is the termination of the ability to perform the required
function [115].

34.4.2 Reliability
Reliability is measured by the probability that a system or component will work
without failure during a specified time interval, with consideration of given
operating conditions and environment.
The failure rate is often described as the Mean Time Between Failure (MTBF)
(par. 34.3) which determines the time of the average period between failures.
For non-repaired items with constant failure rate, reliability is given by:
Number of failures
R
Total operating time

If failures occur randomly then they can be described by an exponential

distribution [118]
t
R t et e MTBF
Where = Failure Rate ( = 1 / MTBF)
34.4 RAMS Elements 263

Example:
For an item with a constant failure rate of one occurrence per operating
year and a required time of operation of 11 months, the reliability is
given by

11 / 0,39985 40%

Probability of Failure
The general expression for probability of failure F(t) is given by
F(t) = 1 R(t)
The reliability of a certain section of a railway line is for example 95,1%. This
means that there is a certainty of 95,1% that traffic can get pass the section of the
line on a given time (or 4,9% probability of failure).
Series and parallel operations can be combined into complex block diagrams,
as shown in Table 25 (RS is the system reliability) [114].

Table 25 Reliability Calculations (after [114])

Type branch Block diagram representation System reliability691

Series RS = RARB

Parallel RS = 1-(1-RA) (1-RB)

RS = [1 (1RA)(1RB)]
Series -
parallel * [1 (1RC)(1RD)]

RS = 1 [1 (RA * RB)]
Parallel -
series * [1 (RC * RD)]

69
Assumes all components function independently of each other.
264 34 The RAMS Analysis

Reliability is obtained from failure rate, as described in par. 34.4.2. Failure rate
can be obtained by employing statistical methods70 . For this to happen, failures
2

must be recorded. In most databases today, failure data sets are scarce or they have
a short background. The whole process is summed up in Figure 152.

Fig. 152 Reliability and failure rate forecasting procedure [117]

Failure Data Collection

Each Infrastructure Manager has determined the limits for the different failure
modes related to track damage.
To provide the data sets with statistical meaning, failure data should be grouped
into comparable sets, which has to do with:
the same failure mode, and;
comparable track segments (see par. 32.13.2).

34.4.3 Availability
The availability of a component is strongly related to reliability and
maintainability. A reliable system requires less maintenance and good
maintainability shortens the repair time.
A system has different operational phases:

Uptime (Up): the time that a system works

Downtime (Down): the system does not work

Availability is a function of uptime and downtime as shown the following Figure

and equation [111].
Uptime
Availability
Uptime Downtime

70
Different expressions or cumulative distribution functions can be used for the failure rate
from empirical data sets. The expressions or distributions will differ from case to case,
and accordingly testing data will need to adapt to the calculation demands. Four different
cases are presented in [117]: High number of Failures (constant and non-constant failure
rate over components life (time dependency)) and Low number of failures (constant and
non-constant).
34.4 RAMS Elements 265

Fig. 153 System Operational States (an example)

There are different ways to determine a systems availability such as

inherent availability,
achieved availability and
operational availability.
Inherent availability for example only takes corrective maintenance into account:
MTBF
MTBF MTTR
(MTBF = Mean Time Between Failure)
MTTR = Mean Time to Repair)
Inherent availability is based on an ideal support environment, which assumes that
tools, spare parts and personnel are readily available.
Achieved availability is based on the fact that a system needs maintenance and
considers preventive and corrective maintenance.
MTBM
Achieved availability
MTBM MAMT
MTBM (Mean Time Between Maintenance
MAMT (Mean Active Maintenance Time)

Achieved availability is also based on an ideal support environment but with

consideration of preventive or scheduled maintenance.
Operational availability includes preventive and corrective maintenance, logistics
delay time and administrative delay time. It shows the availability in an actual
operational environment.
MTBM
Operational availability
MTBM MDT

MTBM (Mean Time Between Maintenance

MDT (Mean Down Time)
266 34 The RAMS Analysis

MDT (Mean Down Time), includes preventive and corrective maintenance,

logistics delay time and administrative delay time (see par. 34.3).
The availability of a track is for example 98,5%. This means that the track
should be operational 360 days of 365 days per year (=365 X 98,5%).

34.4.4 Maintainability
Maintainability is calculated with the mean time to repair (MTTR), which
represents the downtime because of maintenance done.

1 1
where is repair (restoration) rate ( = 1 / MTTR)

34.4.5 Safety
Safety is not easy to measure because of the variety of unsafe situations or
accidents. The calculation of the safety component is most often performed by
risk analysis, where the risks of a specific situation are identified, the occurrence
and impact is determined and the total risk is calculated (a deeper analysis
follows).

34.5 Risk
the worst thing is to rush into action before the consequences have
been properly debated, .. We (Athenians) are capable at the same
time of taking risks and of estimating them beforehand71 3

Pericles, 430 v. Chr.

34.5.1 Risk Concept

The concept of risk is the combination of two elements:
the probability of occurrence of an event or combination of events
leading to a hazard, or the frequency of such occurrences;
the consequence of the hazard.

34.5.2 Failure Categories Suitable for Use in Railway

Applications
Table 26 defines failure categories suitable for use in railway applications.

71
This statement, recorded by Thucydides (460-400 B.C.), was made by Pericles at the
public ceremonial burial of the first Athenians killed in the war with the Spartans. Here,
Pericles describes the virtues of democracy as practiced by Athens.
34.5 Risk 267

Table 26 Failure categories suitable for use in railway applications (after EN 50126.1
[141])

Failure Category Definition

A failure that:
Significant
prevents train movement or causes a delay to
(Immobilising service greater than a specified time and/or
Failure) generates a cost greater than a specified level

A failure that:
Major
must be rectified for the system to achieve its
(Service Failure) specified performance and
does not cause a delay or cost greater than the
minimum threshold specified for a significant
failure
A failure that:
Minor
does not prevent a system from achieving its
specified performance and
does not meet criteria for Significant or Major
failures

34.5.3 Risk Analysis

Risk analysis shall be performed at various phases of the system life cycle by the
authority responsible for that phase and shall be documented. The documentation
shall contain, as a minimum:

a) analysis methodology;
b) assumptions, limitations and justification of the methodology;
c) hazard identification results;
d) risk estimation results and their confidence levels;
e) results of trade-off studies;
f) data, their sources and confidence levels;
g) references.

Table 27 provides, in qualitative terms, typical categories of probability or

frequency of occurrence of a hazardous event and a description of each category
for a railway system. The categories, their values, and their numerical scaling to
be applied shall be defined by the Infrastructure Manager, appropriate to the
application under consideration.
268 34 The RAMS Analysis

Table 27 Frequency of occurrence of hazardous events (after EN 50126.1 [141])

Category Description
Frequent Likely to occur frequency. The hazard will be continually
experienced.
Probable Will occur several times. The hazard can be expected to occur
often.
Occasional Likely to occur several times. The hazard can be expected to
occur several times.
Remote Likely to occur sometime in the system life cycle. The hazard
can reasonably be expected to occur.
Improbable Unlikely to occur but possible. It can be assumed that the
hazard may exceptionally occur.
Incredible Extremely unlikely to occur. It can be assumed that the hazard
may not occur.

Consequence analysis shall be used to estimate the likely impact.

Table 28 describes typical hazard severity levels and the consequences
associated with each severity level for all railway systems. The number of severity
levels and the consequences for each severity level to be applied shall be defined
by the Infrastructure Manager, appropriate for the application under consideration.

Table 28 Hazard Severity Level (after EN 50126.1 [141])

Consequence to
Severity Level Consequence to Persons or Environment
Service
Fatalities and/or multiple severe injuries
Catastrophic
and/or major damage to the environment.
Single fatality and/or severe injury and/or Loss of a major
Critical
significant damage to the environment. system
Minor injury and/or significant threat to the Severe system(s)
Marginal
environment damage
Minor system
Insignificant Possible minor injury
damage
34.5 Risk 269

34.5.4 Risk Evaluation and Acceptance

This paragraph deals with the formation of a "frequency - consequence" matrix
for evaluation of the results of risk analysis, risk categorisation, actions for risk
reduction or elimination of intolerable risks, and for risk acceptance.
Risk evaluation shall be performed by combining the frequency of occurrence
of a hazardous event with the severity of its consequence to establish the level of
risk generated by the hazardous event. A "frequency - consequence" matrix is
shown in Table 29.

Table 29 Frequency - Consequence Matrix

Frequency of Risk Levels

occurrence of a
Severity Levels of Hazard Consequence
hazardous event
Insignificant Marginal Critical Catastrophic
Frequent
Probable
Occasional
Remote
Improbable
Incredible

Table 30 defines qualitative categories of risk and the actions to be applied

against each category. The Infrastructure Manager shall be responsible for
defining principle to be adopted and the tolerability level of a risk and the levels
that fall into the different risk categories.

Table 30 Qualitative Risk Categories (after EN 50126.1 [141])

Risk Category Actions to be applied against each category

Intolerable Shall be eliminated
Undesirable Shall only be accepted when risk reduction is impracticable
and with the agreement of the Infrastructure Manager or the
Safety Regulatory Authority, as appropriate
Tolerable Acceptable with adequate control and with the agreement of
the Infrastructure Manager
Negligible Acceptable with / without the agreement of the
Infrastructure Manager
270 34 The RAMS Analysis

Table 31 shows an example of risk evaluation and risk reduction/controls for

risk acceptance.

Table 31 Typical Example of Risk Evaluation and Acceptance (after EN 50126.1 [141])

Risk Levels
Frequency of
occurrence of a Severity Levels of Hazard Consequence
hazardous event72 4

Insignifican Catastrophi
Marginal Critical
t c
Frequent Undesirable Intolerable Intolerable Intolerable
Probable Tolerable Undesirable Intolerable Intolerable
Occasional Tolerable Undesirable Undesirable Intolerable
Remote Negligible Tolerable Undesirable Undesirable
Improbable Negligible Negligible Tolerable Tolerable
Incredible Negligible Negligible Negligible Negligible

Risk Evaluation Risk reduction/control

Intolerable Shall be eliminated

Shall only be accepted when risk reduction is

Undesirable impracticable and with the agreement of the
Infrastructure Manager.

Acceptable with adequate control and the

Tolerable
agreement of the Infrastructure Manager

Negligible Acceptable without any agreement

34.6 Factors Influencing Railway RAMS

The RAMS of a railway system is influenced in three ways:
by system conditions: sources of failure introduced internally within the
system at any phase of the system lifecycle,
by operating conditions: sources of failure imposed on the system during
operation, and

72
Scaling for the frequency of occurrence of hazardous events will depend on the application
under consideration.
34.7 The Means to Achieve Railway RAMS Requirements 271

by maintenance conditions: sources of failure imposed on the system

during maintenance activities.
These sources of failure can interact.
Table 32 gives some examples on the factors affecting RAMS of the track:

Table 32 Factors affecting track RAMS (after[18])

Physical parameters Technical parameters

Track curvature (transient curve in,
Quasi-static stress
transient curve out, radius)
System conditions

Track gradients (start, end, value) Quasi-static stress

Yield strength (Young's
Rail (rail type, jointed or welded)
modulus)
Ballast (ballast type, ballast size) Stiffness, Damping
Stiffness, Damping, Bending
Sleeper (sleeper type, sleeper spacing)
stress
Fastener (fastener type) Damping
Subgrade (geological condition) Stiffness, Damping
Track operating conditions:
Operating conditions

Loads (annual MGT, Bending stress, Shear stress,

maximum axle load) Contact stress
Environment (temperature) Thermal stress
Vehicle operating conditions:
Speed of trains Vertical stress, Lateral stress
Vehicle condition (hollow
Dynamic stress
wheels)
Grinding Wear rate

Tamping Change in track stiffness

Maintenance
conditions

Lubrication Change in friction co-efficient

Renewal of track components Interval of renewal

Corrective replacements of track Failure rate of track
components components

34.7 The Means to Achieve Railway RAMS Requirements

The means to achieve railway RAMS requirements relates to controlling the
factors which influence RAMS throughout the life of the system. Effective control
requires the establishment of mechanisms and procedures to defend against
sources of error being introduced during the realisation and support of the system.
Such defences need to take account of both random and systematic failures.
272 34 The RAMS Analysis

The means used to achieve RAMS requirements are based on the concept of
taking precautions to minimise the possibility of an impairment occurring as a
result of an error during the lifecycle phases.
Precaution is a combination of:
a) prevention: concerned with lowering the probability of the impairment.
b) protection: concerned with lowering the severity of the consequences of
the impairment.

34.8 Methods and Tools for RAMS Analysis

Various tools and methods are used for RAMS analysis. Some of these tools and
methods are here presented, for example,
FMEA (Failure Mode and Effects Analysis),
FMECA (Failure Mode, Effects and Criticality Analysis),
FTA (Fault Tree Analysis),
Failure Block Diagram Analysis,
CCA (Cause - Consequence Analysis),
HAZOP (Hazardous Operability Analysis).

Table 33 Methods and tools are used for RAMS analysis

FMEA Failure Mode and Effects Analysis (FMEA) is a systematic

tool for identifying:
effects or consequences of a potential product or process
failure.
methods to eliminate or reduce the chance of a failure
occurring.
A successful FMEA activity helps a team to identify potential
failure modes based on past experience with similar products or
processes, enabling the team to design those failures out of the
system with the minimum of effort and resource expenditure,
thereby reducing development time and costs.
FMECA Failure Mode, Effects and Criticality Analysis (FMECA) is an
extension of FMEA by including a criticality analysis, which is
used to chart the probability of failure modes against the severity
of their consequences. The result highlights failure modes with
relatively high probability and severity of consequences,
allowing remedial effort to be directed where it will produce the
greatest value.
FTA Fault Tree Analysis (FTA) is a diagnostic tool used to predict
the most likely failure in a system breakdown. This analysis
method is mainly used in the field of safety engineering and
reliability engineering to determine the probability of a safety
accident or a particular system level (functional) failure.
34.9 System-Effectiveness 273

Table 33 (continued)

Failure Failure Block Diagram Analysis is the analysis of a system

Block based on the component reliabilities.
Diagram It is a method of modelling how components and sub-system
Analysis failures combine to cause system failure. Reliability block
diagrams may be analysed to predict the availability of a system
and determined the critical components from a reliability
viewpoint.
CCA Cause - Consequence Analysis (CCA) technique combines
cause analysis73 and consequence analysis74 . The purpose of
5 6

CCA is to identify chains of events that can result in undesirable

consequences. With the probabilities of the various events in the
CCA diagram, the probabilities of the various consequences can
be calculated, thus establishing the risk level of the system.
HAZOP A Hazard and Operability study (HAZOP) is a structured and
systematic examination of a planned or existing process or
operation in order to identify and evaluate problems that may
represent risks to personnel or equipment, or prevent efficient
operation. A HAZOP is a qualitative technique based on guide-
words and is carried out by a multi-disciplinary team (HAZOP
team) during a set of meetings, to assess the hazard potential that
arise from deviation in design specifications and the
consequential effects on the facilities as a whole.
This technique is usually performed using a set of guidewords:
NO / NOT, MORE / LESS OF, AS WELL AS, PART OF
REVERSE, AND OTHER THAN. From these guidewords,
scenarios that may result in a hazard or an operational problem
are identified. Consider the possible flow problems in a process
line, the guide word MORE OF will correspond to high flow rate,
while that for LESS THAN, low flow rate. The consequences of
the hazard and measures to reduce the frequency with which the
hazard will occur are then discussed. This technique had gained
wide acceptance in process industries as an effective tool for
plant safety and operability improvements.

34.9 System-Effectiveness
System-effectiveness deals with RAMS characteristics of the system. In [109]
system-effectiveness is defined as the probability that a system may successfully
meet an overall operational demand within a given time and when operated under
specified conditions.

73
Described by fault trees.
74
Described by event trees.
274 34 The RAMS Analysis

In short, system-effectiveness is the ability of a system to do a job for which it

was intended. It can be defined as a function of the systems operational
availability, operational reliability and capability.

Systems characteristic Symbol Definition

Operational availability
Operational reliability
Capability
the probability that the track system is
Ao operationally available during the train
traffic
probability that during the train traffic
Ro operation, the track system will not
suffer from any failures
the ability that the track system will meet
C
its required objectives

System-effectiveness (SE) can be calculated as:

System-effectiveness = Operational availability X Operational reliability X
Capability
SE = Ao Ro C
The higher the system-effectiveness, the better is the track system to achieve its
objectives.
In par. 36.2, system effectiveness of various maintenance strategies will be
discussed.
35 RAMS in Operation and Maintenance

The system life cycle is an arrangement of phases, each containing tasks, covering
the total life of a system from initial concept through to decommissioning and
disposal (see Figure 156 in Chapter 36).
The life cycle provides a structure for planning, managing, controlling and
monitoring all aspects of a system, including RAMS, as the system progresses
through the phases, in order to deliver the right product at the right price
within the agreed timetable.
A system life cycle, appropriate in the context of railway operation, is shown in
Figure 154. The top-down branch (left side) is generally called design and
development and is a refining process ending with the manufacturing of system
components.
The bottom-up branch (right side) is related to the assembly, the installation,
the receipt and then the operation of the whole system.

Fig. 154 The V representation of RAMS life cycle (after EN 50126.01)

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 275277.
DOI: 10.1007/978-3-642-36051-0_35 Springer-Verlag Berlin Heidelberg 2013
276 35 RAMS in Operation and Maintenance

The figure also describes the various RAMS activities being carried out at each
phase of the system life cycle (EN 50126.01). To achieve the overall RAMS
objectives of the system, it is important to follow systematic RAMS actions
throughout the life cycle of the system. As far as RAMS activities are concerned,
one of the important phases of the system life cycle is the operation and
maintenance phase where RAMS is optimized by analysis of real life failure data.
The objective of this phase is to operate, maintain and support the total
combination of components and subsystems such that the compliance with system
RAMS requirements is maintained.
Figure 155 illustrates the RAMS process for the track system in the operation
and maintenance phase of the system life cycle. It is a continuous improvement
process throughout the operation and maintenance phase.

Fig. 155 RAMS process in the operation and maintenance phase (after [18])
35 RAMS in Operation and Maintenance 277

RAMS analysis should be done as early as possible in the design stage to

ensure the performance calculations are done for the whole system, including all
existing subsystems and not only for one subsystem which could be influenced by
other subsystems.
36 The LCC Concept

Key terms:
long term cost of ownership, engineering economics technique, the cost
effective solution vs. the best solution

Its unwise to pay too much, but its foolish to spend too little (John Ruston)

Economical evaluations need to take into account all cost consequences of an

investment, independent from the point of time and the place of the payment
caused by the investment75 . 1

Life cycle costing is the process of economic analysis to assess the total cost of
acquisition and ownership of an asset.
Several definitions of Life Cycle Cost (hereinafter designated as LCC) exist:
A short way of explaining this concept is perhaps to say that the life
cycle cost of an item is the sum of all funds expended in support of the
item from its conception and fabrication through its operation to the end
of the useful life.
ISO 15686-5 76 defines LCC the cost of an asset, or its parts throughout
2

its life cycle, while fulfilling the performance requirements.

The LCC of a physical asset begins when its acquisition is first considered, and ends
when it is finally taken out of service for disposal or redeployment (Figure 156).
The method of life cycle costing has been widely accepted in the field of
transport during the last years, as a professional cost prognosis method.
Life cycle costing is another term and it is defined in ISO 15686-5 as
methodology for systematic economic evaluation of life cycle costs over a period
of analysis as defined in the agreed scope.
LCC asks these simple questions:
What do I need now and how much will it cost me?
What will I need to do in the future because I have done it and how much
will that cost me?
How long is the future?
How do I evaluate future costs vs. current costs?
Or
How much does it cost?
How much does it cost to run?
75
Veit. P., (2010), Workshop LCC Railway Infrastructure, Athens.
76
ISO 15686-5 Buildings & Constructed Assets: Service Life Planning: Life Cycle
Costing.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 279292.
DOI: 10.1007/978-3-642-36051-0_36 Springer-Verlag Berlin Heidelberg 2013
280 36 The LCC Concept

An appropriate cost analysis provides important inputs in the decision making

process with regard to product (here: railway track) design, development and use,
evaluating operating and maintenance strategies to optimise long term investment.

Conceptual Design

Preliminary System
Design

Detail Design and

Development

Production and/or
Construction

Production and/or
Construction

Utilization, Retirement
and Disposal Support

Fig. 156 System Life Cycle Phases77 3

36.1 Why Use LCC?

LCC gives emphasis on enhancing economic competitiveness by working for the
lowest long term cost of ownership which is not an easy answer to obtain. There
are typical problems and conflicts observed in most companies, when different
groups of interest in the company have different criteria for taking decisions [108]:

Table 34 Typical problems and conflicts in most companies

. and the only criteria

Group of Interest.
considering
Project Engineering minimize capital costs
Maintenance Engineering minimize repair hours
Production maximize uptime hours
Reliability Engineering avoid failures
Accounting maximize project net present value
Shareholders increase stockholder wealth

77
Blanchard B., Logistics Engineering & Management (6th Edition), Prentice Hall.
36.2 LCC in Maintenance Optimisation 281

Management is responsible for harmonizing these potential conflicts under the

banner of operating for the lowest long term cost of ownership.

LCC can be used as a management decision tool for harmonizing the never
ending conflicts between the various groups of interest, by focusing on
facts, money, and time.
LCC is important for engineers to help think like
MBAs and act like engineers! [108]
In this respect, LCC can be seen as an engineering economics technique.

36.2 LCC in Maintenance Optimisation

1st step: LCC calculation
Figure 157 shows how RAMS affects LCC calculation at various stages. The
maintenance strategy78 (MS) with lowest LCC is considered as the cost effective
4

solution to be implemented in the infrastructure operations.

Fig. 157 Maintenance decisions based on LCC [18]

2nd step: Calculation of the system-effectiveness analysis of different maintenance

alternatives
As referred above, the maintenance strategy79 (MS) with lowest LCC is considered
5

as the cost effective solution to be implemented in the infrastructure operations80 . 6

78
The maintenance strategy can be a single maintenance action (e.g. grinding) or a cluster
of maintenance actions.
79
The maintenance strategy can be a single maintenance action (e.g. grinding) or a cluster
of maintenance actions.
80
As presented in 36.2.
282 36 The LCC Concept

But it isnt obvious that the cost effective solution is the best solution, due to
the fact that every solution has a different system effectiveness (see par. 34.9).

Fig. 158 System-effectiveness analysis

3rd step: Calculation of the cost-effectiveness analysis of different maintenance

alternatives
Cost-effectiveness analysis produces quantitative results with risk analysis, and
provides a useful decision tool to aid the decision maker.

Fig. 159 Cost-effectiveness analysis

36.3 Economic Calculations for LCC 283

Cost-effectiveness (CE) of a maintenance alternative x is the quotient of LCC

and System-Effectiveness (SE) of the relevant maintenance alternative:

Where
A0X the Operational availability (par. 34.9)
R0X the Operational reliability (par. 34.9)
C0X the Capability (par. 34.9)

Table 35 shows the calculation of cost-effectiveness from the LCC values of

different maintenance alternatives. The higher the cost effectiveness, the better the
maintenance alternative is.

Table 35 Calculation of cost-effectiveness of maintenance alternatives

Life Cycle
Maintenance System Cost effectiveness
Cost
alternatives effectiveness CE = SE/LCC
(LCC)
MS 1 LCC 1 SE1 CE1 = SE1 / LCC 1
MS 2 LCC 2 SE2 CE2 = SE2 / LCC 2
MS 3 LCC 3 SE3 CE3 = SE3 / LCC 3

As LCC, by definition, deals with the future and the future is unknown, a risk
analysis should be carried out after the performed calculation.

36.3 Economic Calculations for LCC

How do you compare future costs with current costs?
The literature shows a broad variation of economic evaluation methods for LCC
analysis. They all have their advantages and disadvantages. The methods have
been formed for different purposes and the user should be aware of their
limitations. Table 37 [110] illustrates the six main economic evaluation methods
for LCC, their advantages and disadvantages and for what purposes they can be
used.
Engineers always want a simple, single value, criteria for a projectthe answer
for LCC is called Net Present Value (NPV):
The NPV of project is the most useful and one of the most commonly used
criteria for determining whether a project should be accepted. The net present
value formula is:
284 36 The LCC Concept

Where,
Bt are project benefits in period t
Ct are project costs in period t
r is the appropriate financial or economic discount rate
n is the number of years for which the project will operate
In the following the NPV method will be more detailed presented.
For input to the LCC calculation, future costs are converted to their current
equivalent by using a suitable discount rate: in project analysis, any costs and
benefits of a project that are received in future periods are discounted, or deflated
by some factor, r. The factor used to discount future costs and benefits is called
the discount rate and is usually expressed as a percentage.

Example:
100 Euro receivable today is more than 100 Euro receivable a year later, as
100 Euro received today will earn interest or profits and shall accumulate
to more than 100 Euro in a year's time. Alternatively, 100 Euro received
today can be used to reduce borrowing thereby avoiding interest payments
as well as reducing debts by 100 Euro. Assuming that the Railways' cost of
finance is its current dividend rate (say 6% per year), Euro 106 received a
year hence should be worth 100 Euro today and 100 Euro which may be
received in a year's time is worth about 94 Euro today (actually it is worth
94.34 Euro). Likewise, the present value of 100 Euro receivable 2 years
hence is about 89 Euro, and so on. In this way the cash flow for the project
in any future year can be discounted to obtain the present value.

For example, suppose the project is expected to yield a stream of benefits equal to
B0, B1, B2, . .. B n and to incur a stream of costs equal to C0, C1, C2 ,... C in years
n

.
0, 1,2, . . n. Then in each period the net benefits (benefits minus costs) of the
project will be:

(B0 C0), (B1- C1), (B2-C2), .. . (B -C )

n n

This is simply the project's net benefit flow.

Assuming that the discount rate, r, is constant, then the discounted cash flow of
the project can be represented as:
36.3 Economic Calculations for LCC 285

Year Benefit flow

Year 0 B0 C0
Year 1
1
Year 2
1
Year 3
1
Year n
1

Once future net income streams have been discounted in this way, expenditures
and revenues from all the different time periods will be valued in units of similar
value - present day units of currency. They will then be directly comparable with
each other and can be added together. Adding the discounted net benefits from
each year of the project's life, its discounted net benefit flow, gives a single
monetary value called the project's net present value, NPV. For, the previous
example, the project's NPV is:

Table 36 Example: Cash flow of a railway project - discounted at 6% discount rate (million
Euro)

Discount
Benefits Net Net
Costs Factor
(B) Benefits Benefits
Year (t) 1/(1+r)t
(3)=(2)-
(1) (2) (4) (5)=(3)*(4)
(1)
0 100 0 -100 1 -100,00

1 400 50 -350 0,943 -330,19

2 200 150 -50 0,890 -44,50

3 100 200 100 0,840 83,96

4 100 200 100 0,792 79,21

5 100 200 100 0,747 74,73

286 36 The LCC Concept

Table 36 (continued)

6 100 200 100 0,705 70,50

7 100 200 100 0,665 66,51

8 100 350 250 0,627 156,85

Total 1.300 1.550 250 NPV = 57,06

The net present value criterion of a project is the single most important measure
of the project's worth.
In the above table, an r = 6% discount rate is used to discount the net benefits
of a railway project. The project's NPV can then be estimated by just adding up
these discounted net benefits. Columns (1), (2) and (3) show the non - discounted
costs, benefits and net benefits (benefits-costs) of the railway project.
Column (4) gives the discount factor, 1/(1+r)t, by which the non-discounted net
benefits in column (3) are multiplied, to obtain the discounted value of these net
benefits in each year, t, shown in column (5). These discounted net benefits can
then be added together to obtain the total discounted net benefits, or net present
value, of the project.
The bottom line of the table shows that the NPV comes to 57,06 million Euro if
an 6% discount rate is used. A NPV greater than zero indicates that the discounted
benefits of the project are expected to be greater than its discounted costs and the
project will therefore be worth undertaking.
This example illustrates how crucially the estimation of a project's NPV
depends on the discount rate employed81 . A lower discount rate would have
7

deflated future income by less and increased NPV of the project. A higher
discount rate would have deflated future income more heavily and decreased the
NPV of the project, possibly changing it from positive to negative. The selection
of the appropriate discount rate is therefore a very important issue in project
appraisal.
In the above example, a discount rate of r=7% gives a NPV of 32,85 Million
Euro, and a discount rate of r = 8% gives a NPV of 10,44 Million Euro. A
discount rate of r = 8,5% gives a negative NPV (-0,15 Million Euro).

81
The discount rate is roughly the opportunity cost of capital: it is the cost of using the
capital in one project renouncing to earn a return in another project. Its value is defined
mostly empirically for a given project, in a given country or region, for a given firm and
at a given time. The value of the discount rate can have a very serious impact on the
decision making process of a cost benefit or life cycle cost analysis ([24][24.11]).
36.3 Economic Calculations for LCC 287

(A deeper understanding can be achieved by studying as an example the

extensive analysis for the Kansas City Light Rail Project82 ). 8

The NPV of a project is as presented- sum of the present values of the net cash
flows for all the years of the project's economic life (present value of incomes
minus present value of expenses). Projects and processes with the greatest NPV is
usually the winner. Often incremental changes on a project, can lead to a positive
NPV. Thus many improvement projects must be selected on the least negative
NPV values from many alternatives.
NPV in decision making:

If. It means . Then .

NPV > 0 the investment would add value
to the Infrastructure Manager
NPV < 0 the investment would subtract
value from the Infrastructure
Managers or governments
available budget
NPV = 0 the investment would neither
gain nor lose value for the
Infrastructure Managers or
governments available budget
the project may be accepted
the project should be rejected
We should be indifferent in the
decision whether to accept or
reject the project. This project
adds no monetary value.
Decision should be based on
other criteria, e.g. strategic
positioning or other factors not
explicitly included in the
calculation.

Engineers must be concerned with life cycle costs for making important economic
decisions through engineering actions. Management deplores engineers who are
engineering bright but economics dim [108].

Cost Considerations
Values for the costs should be as accurate as possible. Greater effort may be
required for the most significant cost variables. Values can be derived from:
a direct estimation from known costs;
historical data (i.e. from similar track construction works);
models based on expected performance, averages etc.;
best guesses of future trends in technology, etc.
For each cost, there should be an associated time profile of when the cost occurs
(or recurs).

82
Sudhakar Raju, (2008), Project NPV, Positive Externalities, Social Cost-Benefit Analysis -
The Kansas City Light Rail Project, Rockhurst University, http://www.nctr.usf.
edu/jpt/pdf/JPT11-4Raju.pdf

Table 37 The advantages and disadvantages of economic evaluation methods for LCC (after [110])
Method What does it calculate
Calculates the time required to
return the initial investment. The
Simple payback
investment with the shortest payback
time is the most profitable one.
Basically the same as the simple
Discount payback method
payback method, it just takes the
(DPP)
time value into account.
NPV is the result of the application
of discount factors, based on a
required rate of return to each years
projected cash flow, both in and out,
so that the cash flows are discounted
to present value. In general, if the
NPV is positive it is worthwhile
Net present value (NPV)
investing. But as the focus in LCC is
on cost rather than on income, the
usual practice is to treat cost as
positive and income as negative.
Consequently, the best choice
between two competing alternatives
is the one with minimum NPV.
Advantage
Quick and easy calculation.
Result easy to interpret.
Takes the time value of
money into account.
Takes the time value of
money into account.
Generates the return equal to
the market rate of interest. It
uses all available data.
Disadvantage
Does not take inflation,
interest or cash flow into
account.
Ignores all cash flow outside
the payback period
Not usable when the
comparing alternatives have
different life lengths. Not easy
to interpret.
288
Usable for
Rough estimation to see if the
investment is profitable
(Flanagan et al., 1989).
Should only be used as a
screening device, not as a
decision advice .
Most LCC models utilize the
NPV method . Not usable if
the alternatives have different
life lengths .
36 The LCC Concept

Method
Equivalent annual cost (ECA)
Internal rate of return (IRR)
Net saving (NS)
What does it calculate
This method expresses the one time
NPV of an alternative as a uniform
equivalent annual cost. For that it
takes the factor present worth of
annuity into account .
The IRR is a discounted cash flow
criterion which determines an
average rate of return by reference to
the condition that the values be
reduced to zero at the initial point of
time (Moles and Terry, 1997). It is
possible to calculate the test discount
rate that will generate an NPV of
zero. The alternative with the highest
IRR is the best alternative (ISO,
2004).
The NS is calculated as the
difference between the present worth
of the income generated by an
investment and the amounted
invested. The alternative with the
highest net saving is the best.
Table 37 (continued)
Advantage
Different alternatives with
different life lengths can be
compared (ISO, 2004).
Result gets presented in
percentage which gives an
obvious interpretation.
Easily understood investment
appraisal technique.
Disadvantage
Just gives an average number.
It does not indicate the actual
cost during each year of the
LCC (ISO, 2004).
Calculations need a trial and
error procedure. IRR can only
be calculated if the
investments will generate an
income .
NS can only be used if the
investment generates an
income.
Usable for
Comparing different
alternatives with different life
lengths (ISO, 2004).
36.3 Economic Calculations for LCC
Can only be used if the
investments will generate an
income, which is not always
the case in the construction
industry .
Can be used to compare
investment options (ISO,
2004). But only if the
investment generates an
income .|
289
290 36 The LCC Concept

36.4 LCC Process

The estimation of the life cycle cost of the track can be executed in different steps,
as shown in Figure 160. The input parameters for each step in the LCC process
and the corresponding outputs are described in the figure and the table below.

Table 38 LCC process (after [18])

Process
Process Description
Step
Start of LCC Understanding of the technical characteristics of a
P1 analysis of track section as well as the utilisation of the track in
track section terms of tonnage and frequency of trains.
Defining per Determination of the track to compare the cost data
P2 unit length of different track configurations in the best possible
of track way (see par. 32.13.2).
Track deterioration depends both on various track as
Estimating
well as vehicle characteristics. Estimation of total
P3 track
track failures will be done by means of track failure
deterioration
data and degradation models of track and vehicle.
Estimating Track maintenance volume consists of all the
track corrective and preventive maintenance as well as
P4
maintenance renewal activities. This is estimated by means of
volume RAMS analysis of the various failure modes.
A reference timetable describes the type of traffic,
frequency of trains as well as the train operational
Estimating hours per day. Track possession time determines the
track track availability, train speed restriction hours and
P5
possession train delay by means of track failure modes and
time maintenance cost. Track possession times can be
calculated based on the corrective and preventive
maintenance actions.
Estimating Train derailment probabilities are estimated by track
P6 derailment failure modes, maintenance volume and track
probabilities possession time.
36.4 LCC Process 291

Table 38 (continued)

Process Process
Description
Step
Estimating
LCC is calculated by considering all the costs in the
P7 total cost
life cycle phases as well as the consequential costs.
(LCC)
Estimating Uncertainty analysis is done to estimate the variable
P8 risk in costs in LCC by simulating the several risky RAMS
LCC variables in life cycle cost estimates.
Estimating
Net
Net present value (NPV) can be calculated by means
P9 Present
of discounting rate.
Value
(NPV)
292 36 The LCC Concept

Fig. 160 Process for LCC analysis in the operation and maintenance phase (after [18])
37 Maintenance Planning Using LCC AI
RAMS

The maintenance strategy consists usually of various critical success factors that
are necessary to achieve the overall goals for maintenance.
Effective measurement of the condition of the track is necessary for the
achievement of track maintenance goals. Figure 161 describes an approach to
achieve track maintenance goals by analysing track condition data using RAMS
and LCC (input for the LCC analysis see par. 36.4).

Fig. 161 Maintenance planning using LCC RAMS (after [18])

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 293296.
DOI: 10.1007/978-3-642-36051-0_37 Springer-Verlag Berlin Heidelberg 2013
 294

Table 39 Reliability analysis in track maintenance planning (after [18])

Track Type of
Maintenance decisions Reliability analysis R A M S database
component maintenance
Rail Grinding When to grind? Grinding interval is determined by developing a trend of Type and number of RCF defects.
RCF defects data of rail. The point of grinding is Past grinding dates.
determined when the trend reaches the number of defects
fixed for the rail
Track Tamping When to tamp? Tamping interval is determined by developing a trend of Track stiffness.
the standard deviations measured from the desired Track geometrical quality indices.
dimensions of track geometry. The point of tamping is Past tamping dates.
when the trend reaches the standard deviations fixed for
the track.
Rail Inspection How often to inspect? Inspection interval is determined by analysing the rail car Rail car inspection data.
inspection data and developing a trend of number of rail Visual inspection data
defects formed in a specific interval of time Hand held equipment data
Ballast Cleaning When to clean ballast Ballast cleaning life estimation Past ballast cleaning dates
Forecasting of ballast cleaning life is done by developing a Condition of ballast.
probability distribution of past ballast cleaning data and
ballast condition factor.
Ballast condition factor is determined by the percentage of
void in the ballast.
Rail Renewal When to renew rail in a given track Rail service life estimation for different curve radii. Historical rail installation dates and
section age of rail when installed.
Rail service life is determined from rail fatigue life and rail
What percentage of the rail need to Type and number of RCF defects.
wear life whichever comes earlier. Forecasting of rail fatigue
be renewed in a given track Rail wear profile.
life is done by limiting number of RC'F detects per kilometer
section?
of track per MGT whereas rail wear life is estimated by
keeping a threshold value for rail wear Residual rail life is
calculated by using the current condition of rail.
37 Maintenance Planning Using LCC AI RAMS
 Table 39 (continued)

Track Type of
Maintenance decisions Reliability analysis R A M S database
component maintenance
Sleeper Renewal When to renew sleepers in a given Sleeper service life estimation for different curse radii. Historical sleepers installed dates
track section? Forecasting of sleeper service life is done by developing a and conditions when installed
How many sleepers need to be probability distribution of past sleeper renewal data Sleepers condition distribution
renewed in a given period of time Remaining useful life of sleeper is calculated by using the (e.g.good, medium and bad) in a
in a given track section? current conditions of sleepers. given track segment. The
segmentation is based on the
failure modes on the sleepers.
Used life of good, medium and bad
sleepers is in terms of percentage
of average sleeper life.
37 Maintenance Planning Using LCC AI RAMS

Ballast Renewal When to renew ballast Ballast service life estimation for different curve radii. Historical ballast installation dates
Forecasting of ballast life is done by developing a Condition of ballast
probability distribution of past ballast renewal data.

Rail Replacement When to replace the rail Rail break life estimation. Historical rail break data
Rail break life forecasting is done by developing a Rail defects data
probability distribution of past rail breaks data. It can be also Wear limit.
estimated by identifying the rail defects which have got the
potential for rail breaks and developing a trend of those
defects forming the rail breaks.
295
296 37 Maintenance Planning Using LCC AI RAMS

Track maintenance task identification includes: (see also Chapter 33).

when the infrastructure needs to be maintained,
what maintenance actions need to be carried out (preventive or
corrective),
which maintenance action will meet the track availability objective,
what maintenance action will secure the safety of the system, etc.
38 Integration of RAMS and LCC in the
Project Design Process

There are a number of conceptual models for the integration of RAMS and LCC in
the design process. In this section a model is described to show how RAMS and
LCC can be implemented in sectors such as the production industry.
This model described by Ogink & Al-Jibouri [113] is based on the standard
design process from Systems Engineering and fits strong with the construction
industry (Figure 162) [111].

Fig. 162 RAMS procedure for contracts that includes maintenance (after [111])

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 297.
DOI: 10.1007/978-3-642-36051-0_38 Springer-Verlag Berlin Heidelberg 2013
39 A Case Study of Applications of RAMS and
LCC in the Design Process

The project in the following example is based on a project described in [111] that
has been modified to adapt as an example- to railway projects.
Short description of the example project
The track of a railway line between City A and City B has to be constructed. The
RAMS and LCC analysis will be presented for the design phase of the project,
according to the model described in Chapter 38.
P1: Analysing requirements
The first step in the model for preliminary design phase is to analyse the RAMS
requirements.
Within the project several requirements are being considered and these
requirements can then be allocated to the track construction in this case.
P2: Functional analysis and allocation
In the second step the evaluation criteria that are used to evaluate several
alternatives are described and the trade-off requirements can be determined.
The evaluation criteria within the project are:
Reliability,
Availability,
Downtime,
Initial cost,
Maintenance cost and
Cost for specific risks.
These evaluation criteria are derived from the RAMS requirements specified by
the Infrastructure Manager. Within these criteria the engineering company
develops the trade-off requirements that are used within the trade-off to evaluate
the alternatives:
1. The reliability of the track should be 99,8%.
2. The availability of the track should be 99,0%.
3. The downtime should be less than 3600 hours.
For the contractor the lowest total costs are also important to gain a competitive
advantage over other contractors. The total costs (in present worth) of the track
can be divided into

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 299304.
DOI: 10.1007/978-3-642-36051-0_39 Springer-Verlag Berlin Heidelberg 2013
300 39 A Case Study of Applications of RAMS and LCC in the Design Process

initial construction costs,

maintenance costs and
costs for the risks that can occur during the life span of the track. A risk
for example is that large maintenance needs to be done earlier than was
expected in the design phase.

P3: Generate alternatives

Two different alignments have to be examined (Alignment A and B). Each

Alignment alternative can be constructed as ballasted track, or as slab track. So the
possible alternatives are:

Table 40 Alternatives in track alignment and track construction

Alternative 1 Alternative 2 Alternative 3 Alternative 4

Alignment A, Alignment A, Alignment B, Alignment B,
ballasted track slab track ballasted track slab track

P4: (optional) Human Factor Analysis

A human factor analysis is useful when human or human decisions influence the
functioning of the system. In this case human factors have very little influence in
the functioning of the track. Accidents on the track caused by human failure, for
example, could influence the functioning of the track, but traffic accidents are
excluded in the performance requirements. Also no data is available on how
human factors influence the execution phase where some of the track
characteristics are determined. Therefore, a Human Factor analysis is not
performed in this case.

P5: Perform FTA

A Fault Tree Analysis (FTA) (see par. 34.7) can be done to model and analyse the
failure processes of systems by graphically developing a tree starting from one top
cause of a failure into smaller failure causes. In this case little knowledge exists
about failure processes of track construction. Experienced designers of track have
a global idea how and when track will fail in their life. They do not have specific
data about the root causes of failures and therefore an FTA cannot be made in this
case.

P6: Perform FMECA on subsystems

An expanded FMECA (par. 34.8) sheet is used to determine the effects of the
main failure modes that can occur during the life of a track. Four main failure
modes are identified using data from experienced designers in track construction.
These four failure modes are:
39 A Case Study of Applications of RAMS and LCC in the Design Process 301

1. Track geometry faults

2. Rail wear
3. Ballast wear
4. Subgrade failure

The occurrence of a certain failure mode is determined with the experiences from
the past that have been identified by the track designers. The state of each failure
mode will occur in practice in several stages which are identified in the
Infrastructure Manager regulations.
The stages vary i.e. from A (high quality level) to F (Worst quality level) and in
practice the Infrastructure Managers mostly demand a minimal quality level B of
their track. Every state of the track below this quality is considered to be a failure
and needs maintenance. When the quality level reaches below level B the effects
of a failure mode can be determined by what is necessary to restore the required
quality level.
With the occurrence and effect of a failure mode the risks for one failure mode
and the total risk of all failure modes for one alternative can be calculated.

P7: Perform Safety Analysis

A safety analysis has to be performed according to the requirements of the Safety

Management System of the Infrastructure Manager.

P8: Perform ETA

An Event Tree Analysis (ETA, see par.34.7) is not performed in this case due to
the fact that events, such as accidents, that could cause the track to fail are
excluded in the maintenance contract.

P9: Analyse maintenance

The maintenance period is 25 years, with, for track, a residual life of 5 years for
the ballasted track and 25 years for slab track. The contractor is free to determine a
maintenance strategy.
The maintenance plan for each alternative is partly based on the results of the
FMECA that is done in P6. With the information of the effects of the failure
modes for an alternative, the amount of downtime can be calculated and the
number of failures during the maintenance period can be estimated.
The total operation time in this project is 262.800 hours83 . Alternative 1 for
1

example has an estimation of 57 failures during the maintenance period of 30

years. With this information the reliability of alternative 1 can be calculated as
99,98% (see par. 34.4.2). The downtime of alternative 1 follows from the
estimated time that the maintenance for this alternative will take.
Availability is calculated with the uptime and downtime of a system (see par.
34.4.3). The expected downtime in this example for Alternative 1 is 2593 hours.

83
30 years X 365 days X 24 hours = 263.800 hours.
302 39 A Case Study of Applications of RAMS and LCC in the Design Process

With this downtime and the total operation time, the uptime can be determined
and the availability is calculated as 99,01%.
In this case downtime is transferred into cost with the use of the lane rental
principle84 . For this example, the contractor must rent busses for the passenger
2

transfer in order to temporary close the line or change the timetable85 . In this case
3

the Infrastructure Manager demands a minimum amount of maintenance and

disturbance for the railway user. Therefore when a line section is shut down for
maintenance purposes a penalty of 3.000,- per hour is given to the contractor.
In Table 41 all alternatives are shown with the trade-off requirements that
indicate the performance.

Table 41 Alternatives with performance trade-off requirements

Alternative 1 Alternative 2 Alternative 3 Alternative 4

Criteria Alignment A, Alignment A, Alignment B, Alignment B,
ballasted track slab track ballasted track slab track

Reliability 99,98% 99,99% 99,92% 99,99%

Availability 99,01% 99,67% 98,72% 99,57%

Downtime
2.593 864 3.371 1.123
[hours]

Downtime cost 7.779.000 2.592.000 10.112.700 3.369.000

The other alternatives are calculated in the same way as the example above
(Table 41).

P10: Perform Life Cycle Cost Calculation

The costs in this example are proportionally adjusted. In this step the relevant cost
categories for this case are calculated, which are initial costs, maintenance costs
and costs for certain risks.
84
Lane rental is used by road projects to minimize the impacts of a project on the
travelling public. It is a method of transferring the road user costs to the contractor. The
contractor must rent a lane in order to close it. This creates a financial incentive for the
contractor to minimize the duration of lane closures.
85
An additional amount for compensation could be required due to the interruption of a
seamless journey, and the travel inconvenience and travel time increase.
39 A Case Study of Applications of RAMS and LCC in the Design Process 303

The initial costs and maintenance costs can be calculated with information from
the contractor on how to construct the alternatives and the required maintenance.
The risks are calculated on the basis of the results from the FMECA.

P11: Choose alternative for subsystem

On the basis of the calculated performance and total costs the four alternatives are
evaluated. In Table 42, the criteria to evaluate the alternatives are shown.

Table 42 Evaluation of alternatives

Alternative 1 Alternative 2 Alternative 3 Alternative 4

Criteria Alignment A, Alignment B,
Alignment A, Alignment B,
ballasted ballasted
slab track slab track
track track

Reliability 99,98% 99,99% 99,92% 99,99%

Availability 99,01% 99,67% 98,72% 99,57%

Downtime [hours] 2.593 864 3.371 1.123

Downtime cost [] 7.779.000 2.592.000 10.112.700 3.369.000

Initial Cost [] 20.000.000 25.000.000 15.000.000 18.750.000

Maintenance
2.593.000 864.000 3.370.900 1.123.000
Cost []

Risks [] 800.000 2.000.000 850.000 2.100.000

Total cost [] 22.593.000 25.864.000 18.370.900 19.873.000

304 39 A Case Study of Applications of RAMS and LCC in the Design Process

Table 42 shows that

Alternative 3 is the overall cheapest.
Alternative 4 is close to alternative 3, It is a bit more expensive than
Alternative 3, but it has the best reliability and the second best
availability and downtime characteristics.
For this specific case the best choice is considered to be alternative 3. It is the
cheapest alternative and at the same time has a good overall performance.
40 LCC and WLC (Whole Life Costing)

40.1 What Is Whole Life Costing?

The terms Whole Life Cost (WLC) and Life Cycle Cost (LCC) have been used
interchangeably and their meanings have become confused.
WLC is a methodology for the systematic economic consideration of all whole
life costs and benefits over a period of analysis, as defined in the agreed scope.
According to the draft of the ISO Standard 15686-5, WLC is equivalent to LCC
plus external costs, thereby defining WLC as a broader term including within it
life cycle costing and covering a wide range of analysis.
The difference between WLC and LCC is shown in Figure 163:

Fig. 163 LCC and WLC (Whole Life Costing) 86 1

86
BS/ISO 15686-5 Buildings & Constructed Assets.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 305306.
DOI: 10.1007/978-3-642-36051-0_40 Springer-Verlag Berlin Heidelberg 2013
306 40 LCC and WLC (Whole Life Costing)

Whole Life Costing is defined in the draft International Standard, ISO15686

Part 5 as: economic assessment considering all agreed projected significant and
relevant cost flows over a period of analysis expressed in monetary value. The
projected costs are those needed to achieve defined levels of performance,
including reliability, safety and availability.
Another definition easier to consider is87 : the systematic consideration of all
2

relevant costs and revenues associated with the ownership of an asset.

In the following, the definitions of LCC and WLC are given side by side in
order to clarify the difference between both of them:
Definition of LCC (Chapter36) Definition of WLC
the cost of an asset, or its parts the systematic consideration of all
throughout its life cycle, while relevant costs and revenues
fulfilling the performance associated with the ownership of an
requirements asset
Neither of these definitions reveals that whole life costing is a tool, to assist
in making decisions between different options with different cash
flows over a period of time. In this respect it is a form of investment
analysis.
Whole life costing is relevant when considering whole estates, whole facilities,
individual buildings or structures and when comparing alternative investment
scenarios such as:
retain and refurbish,
alternative designs, and
alternative specifications (such as between ballasted track vs. slab
track).
It is particularly used to justify whether an alternative with a higher capital cost is
justified.
The goal is to achieve an initial whole life cost plan, which can be modified as
the design and construction is undertaken and as more details of specifications
become available.

40.2 Basic Steps in Whole Life Costing

The basic steps in Whole Life Costing are:
1. Identify capital and operational costs and incomes
2. Identify when they are likely to occur
3. Use discounted cash flow analysis (see par. 36.3) to bring the costs back to
a common basis.
4. Undertake sensitivity analysis of the variables such as the discount rate, the
study period, the predicted design lives of components, assumptions about
running costs, etc.
87
See National Platform for the Built Environment, UK.
41 Investmentt and Budgeting Decisions for
High Track
k Quality

Track construction requirees large investments.

The sole purpose of investing
i is a high initial quality. The sole purpose oof
maintenance is to assure that
t this initial quality leads to an extension of the servicce
life of the track. Investment and maintenance should be viewed as elements off a
strategy for the superstruccture.
Lack of maintenancce, delayed or improper maintenance of the tracck
devalues the investment,, as far as decreasing its service life88 . 88

41.1 The Structure of the Track Life Cycle Cost (LCC)

The track LCC can be anaalysed in
(1) Depreciation
(2) Cost due to operational hindrances
(3) Cost of track maintenance
mple of this cost structure. The mentioned cost elemennts
Figure 164 gives an exam
are discussed below.

100%
%
100%

80%

60% 55%

40%
25%
20%
20%

0%
LCC
C Depreciation Operational Maintenance
hindrances

nalysis (after [129] and after seminars of Prof. P. Veit89)

Fig. 164 LCC cost an

88
Prof. P. Veit, Technical Un
niversity of Graz.
89
Technical University of Graz.
G

K. Tzanakakis: The Railway Tra

ack and Its Long Term Behaviour, STTT 2, pp. 307311.
DOI: 10.1007/978-3-642-36051-0_41 Springer-Verlag Berlin Heidelberg 2013
308 41 Investment and Budgeting Decisions for High Track Quality

Investment costs - depreciation

An investment is an asset that a company owns and intends to use in operating
activities. The railway track is an example. Generally the entire cost of acquiring
an asset like the track cannot be deducted in the year acquiring it. Most assets lose
their value over time (in other words, they depreciate), and must be replaced once
the end of their useful life is reached.
Depreciating an investment means recovering the cost of the investment over a
specified number of years, for the track, it is the service life (see par. 30.1):
LCC
Depreciation=
Service Life of the track

Cost of operational hindrances

Cost of operational hindrances arises from disturbances of the traffic operation i.e.
due to unplanned maintenance, which costs to the Infrastructure Manager (less
revenues from access charges, penalties to the railway undertaking etc.).
Maintenance costs
The maintenance costs include planned and unplanned maintenance.

41.2 Strategies to Decrease the LCC

In order to reduce the LCC of the track following measures can be taken:
1. Decrease of the depreciation cost. It is possible by decreasing the
numerator or increasing the denominator of the fraction (Equation in par.
41.1), that means by decreasing the LCC of the track or by increasing its
service life.
2. Decrease of the cost of operational hindrances. It can be achieved by
better planning of the planned maintenance.
3. Decrease of track maintenance costs. It can be achieved by applying an
optimized maintenance strategy (methods, proper outsourcing, optimum
choice of the track components etc.).

Due to the fact that depreciation is the dominant cost factor, a strategy for a
prolongation of the track service life is the most effective one (Figure 164).
We will examine some cases where strategies with cost cuttings in short-term,
lead to an increase of the track LCC (long-term).

Case 1: Decrease in depreciation Increase of the track service life, accepting its
degradation
41.2 Strategies to Decrease the LCC 3009

This strategy results in the imposition of speed restrictions that result to aan
increase of the costs of operational hindrances. LCC increases: lengthening thhe
useful life of the line against quality is uneconomical (Figure 165).

140%
123%
120%

100%

80%

60% 55%
48%
40%
20%
20%

0%
LCC Depreciation Operational Maintenance
hindrances

Fig. 165 Extension

n of service life due to speed restrictions (after [129])

Case 2: Decrease of the trrack maintenance volume

By reducing the required d maintenance90 , the track service life is reduced, thuus
90

increasing the cost of dep

preciation (the denominator of the fraction in the equatioon
in par. 41.1 is decreased), see Figure 166.

90
i.e. by reducing the availab
ble budget for maintenance.
310 41 Investment and Budgeting Decisions for High Track Qualiity

140%
127%
120%

100% 92%

80%

60%

40%
24%
20% 11%

0%
LCC Depreciation Operational Maintenance
hindrances

Fig. 166 Decreease of the track maintenance budget (after [129])

Conclusion

Figure 167 gives an oveerview of the various maintenance strategies and theeir
impact on the track LCC.

140% 123% 127%

120% 100%
100% 92%
80%
55% 48% 55%
60%
40% 25% 20% 24%
20% 11%
20%
0%
Basic strategy Permanent speed Minimized
restrictions maintenance

LCC Depreciation
Operationaal hindrances Maintenance

Fig. 167 Overview of the various maintenance strategies (after [129])

41.2 Strategies to Decrease the LCC 311

The main conclusions drawn from what is presented here are:

A track with good quality is the most economical one.

But only a proper maintenance can ensure the benefits of a track
with an initial good riding quality.
Section VIII: Outsourcing Track Maintenance

(IN-HOUSE VERSUS OUTSOURCING)

Do what you do best and outsource the rest.

Outsourcing of maintenance services is not a definite path to maintenance

excellence. Through outsourcing it could be possible to cut cost and make the
maintenance more effective.
In this section, advantages and disadvantages of outsourcing, factors
influencing decision making, types and characteristics of outsourcing contracts,
and cases of applied outsourcing are topics discussed among others.
42 Introduction

Key terms:
Strategic and tactical outsourcing, contractors performance, types of
contracts, Performance-based Contracting (PBC), Fixed-cost-incentive-
fee & Cost-plus contracts, alliance relation contracts, risks associated
with contracting, outsourcing scenarios, modelling costs

Traditionally, governments own public infrastructure such as railway, roads,

communication networks, public buildings, and other public facilities. Usually
maintenance of these infrastructures is done in-house. However, there is a growing
trend towards outsourcing these maintenance activities to external agents.
Outsourcing is a service contract of maintenance actions where components or
system failures are rectified by an external contractor (agent) for an agreed period
of time. The contractor charges a price for such service. His profit is influenced by
many factors, such as the reliability of the components or system, servicing
strategies to be taken during the period, and the policies of the contract [119].
Outsourcing of maintenance isnt an automatic strategy to achieving
maintenance objectives. The outsourcing of maintenance services is not a
definite path to maintenance excellence. Through outsourcing it could be possible
to cut cost and make the maintenance more effective.
In the following, advantages and disadvantages of outsourcing, factors
influencing decision making, types and characteristics of outsourcing contracts,
and cases of applied outsourcing are topics discussed among others.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 315.
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43 From Tactical to Strategic Outsourcing

Outsourcing has been engaged by industry as a useful tool to improve their

efficiency. However, the main reason why organizations employed outsourcing
was in the 1980's less strategic, and more tactical.
According to a survey (1991), the biggest benefit that organizations expected
by introducing outsourcing was a reduction of overhead and short-term costs
[123]. Such a simple task as the cleaning of office buildings, distributing internal
mail and so forth had been outsourced.
In the middle of the 90's, tactical outsourcing moved in some areas toward
strategic outsourcing and the organizations obtained considerable benefits.
Strategic outsourcing is completely different from conventional outsourcing,
because it is aligned with the organization's long-term strategies. Strategic
outsourcing is not just a simple and useful tool, but in fact a complex one.

Management should carefully consider ;

their future core competencies,
organization structure,
cost structure,
performance level, and
competitive advantages,
before making any decisions about strategic outsourcing (see Table 43)

Table 43 Comparison between Tactical and Strategic Outsourcing

Tactical Outsourcing Strategic Outsourcing

Restructuring
Main purpose Problem-solving
organization
Duration Short term Long term
Transferred to
Decision rights Not transferred
providers
Impact on organization Small Large

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 317.
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44 Cost and Benefit of Outsourcing

Outsourcing can bring a certain amount of benefit to the organization. Outsourcing

also has advantages and disadvantages. Thus, careful consideration is required
before making decisions about introducing outsourcing.
In some countries (United Kingdom, Netherlands) routine maintenance is fully
contracted out. In the Netherlands, for example, this maintenance is contracted out
to contractors by so-called output process contracts. In these contracts a precise
description is given of what is wanted with respect to quality. Contractors are
responsible to achieve this quality. The Dutch rail Infrastructure Manager does not
tell the contractors how to carry out the maintenance, but evaluates the quality by
several modern measuring instruments, and by monitoring and analysing
disturbances. This means that in these countries the contractors are responsible for
the diagnosis of routine maintenance [77].

44.1 Advantages
Maintenance cost saving

Cost saving is the first benefit. Of course maintenance costs will never drop if the
productivity of the external agent is exactly the same as that of the Infrastructure
Manager (IM). It is a prerequisite that a contractor has a higher efficiency and
productivity than the IM that decides to execute outsourcing.
In practice, the contractor will apply cutting edge technology, state-of-the-art
equipment, experience, and well-trained highly motivated personnel. Moreover, if
the economy of scale works in service provider's activities is applied, maintenance
cost will decrease even more.

Enhancing organization's core competencies

Through outsourcing, and making use of cost savings, Infrastructure Managers can
focus on their core competencies and allocate their resources in order to enhance
their core competencies, which is the desired outcome of a successful outsourcing
strategy.

Improve performance and quality

If the contractors have high skills, Infrastructure Managers can expect not only
cost reduction, but improvement of performance and service quality. If an
Infrastructure Manager has only limited experience and skills, outsourcing can
compensate for their weakness by utilizing the expertise of outside providers.

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320 44 Cost and Benefit of Outsourcing

Risk sharing

Contractors are responsible for their work, and they own risks related to their
activities. Transferred risk is proportional with the span of the outsourced area.
This is a significant advantage for the Infrastructure Manager, especially in cases
with a relatively high risk.

44.2 Disadvantages
Outsourcing can bring benefits, as presented. Outsourcing is quite a useful tool,
however, once misused, or abused, it could cause irreversible fatal damage to the
sustainability of an Infrastructure Manager, as described below.

Loss of competencies

There is a danger that the competencies and capabilities of the Infrastructure

Manager are being transferred unexpectedly to the contractors. The main reason of
this tragedy is the misunderstanding of their core competencies. In particular, the
Infrastructure Manager should be careful on this point, because, fundamentally,
only non-core competencies area should be outsourced.
The Infrastructure Manager may also lose control over maintenance. It is easier
to check that certain maintenance works have been carried out, than to check
whether certain quality levels are achieved. In the United Kingdom this
disadvantage has led to considerable problems. In the Netherlands, modern
measure instruments are used among others to check the quality so as to overcome
this disadvantage.
The rail Infrastructure Manager may also lose a feeling for the costs. Since
routine maintenance is contracted out, it is unclear for the rail Infrastructure
Manager what exactly the costs for the contractors are, to realize the contracted
quality levels. This makes the negotiations more difficult [120].

Loss of cross-functional synergies

Cross-functional synergies of activity sectors of the Infrastructure Manager have

to be checked before the final decision of outsourcing (non-core activity sectors
may have cross-functional synergies with core competencies).

Transition cost

Outsourcing involves a lot of administrative work in the transition phase, if

resources such as employees, facilities, and equipment are transferred to
contractors. It may result in considerable costs that must be considered.
If the power of the labour union is strong and influential its not a simple task
due to the fact that organizations have to spend a certain degree of effort to
negotiate with them.
44.3 Make or Buy? Decision Making about Outsourcing Track Maintenance 321

Uncertainty
It is very important to assure a good performance level of the contractors. Inferior
contractors can destroy the perception of the Railway Undertakings (customers)
for the Infrastructure Manager, from which it is so difficult to recover.
Difficulties in reversing
Once outsourced, it is very difficult to reverse and operate in-house. The
Infrastructure Manager (organization) should think that reversing is the last
countermeasure even if the outsourcing has failed.

44.3 Make or Buy? Decision Making about Outsourcing Track

Maintenance
The advantages and disadvantages of outsourcing have been presented. The big
question is how to decide about buy or make and the choice of their sections to
be outsourced?
For the theoretical discussion about outsourcing, four sets of factors to make
decisions are introduced and discussed [120];
(1) strategic factors,
(2) market factors,
(3) service and technology factors, and
(4) economic factors

Strategy

Economy
"buy or Market
make"?

Service
and
technology

Fig. 168 Factors influencing decisions of "buy or make"

322 44 Cost and Benefit of Outsourcing

44.3.1 Strategic Factors

The Infrastructure Manager has to identify its core competencies before deciding
on an outsourcing strategy in each railway organization.
The failure in identifying the core competencies would be critical to the
establishment of a successful outsourcing strategy. Again, core competencies
should be kept in-house; otherwise, the Infrastructure Manager will lose its
competitiveness in the future. Non-core business should be chosen as work for
outsourcing.
It should be noted that the identification of core competencies depends a lot on
each railway's CEO's philosophy.

44.3.2 Market Factors

In each country there are limited number of contractors, so in general, there isnt a
hard competition between the railway maintenance contractors. Due to this fact it
might not be always easy to find well-qualified maintenance contractors. The
existence of quality of maintenance contractors is an important factor.
If the contractor isnt well-qualified, railway should maintain internally;
otherwise, outsourcing can be chosen.
If healthy competition exists, then it might be advisable to outsource (provided
that as mentioned- there are well-qualified maintenance contractors).

44.3.3 Service and Technology Factors

There is a number of maintenance activities, which enables partial outsourcing.
Partial outsourcing is much easier for the Infrastructure Manager, especially for
the first step of launching an outsourcing strategy, because contracting structure
can be limited. For instance,
a. measurement of the track geometry (by a track recording vehicle)
b. execution of repair work
c. inspection and repair for bridges
could be outsourced to enhance the efficiency of the track.
In this sense, track maintenance can be broke down into pieces, enabling partial
outsourcing, which might be easy for the railway to apply. If the service is highly
modular (as a big part of the track maintenance is), it enables the Infrastructure
Manager to more simply outsource portions of the service. On the contrary, if the
service is highly integrated, it is much more difficult to outsource portions of the
service.

44.3.4 Economic Factors

Cost reduction is the most hard-pressed problem in railway maintenance.
44.3 Make or Buy? Decision Making about Outsourcing Track Maintenance 323

Labour costs can be expected to be reduced by introducing outsourcing,

because, in general, railway employees are protected by the labour union, which
disables flexible management in terms of labour. Once a job is outsourced, the
contractor should be able to manage the employees more cost effectively than
those in the railway.
Infrastructure managers should be careful in terms of cost estimation and make
decisions only when total cost could be reduced. Even if direct labour costs were
reduced through outsourcing, the other costs incurred should not be neglected. If
these factors are all taken into consideration, maintenance can be outsourced.
Summarizing, cost reduction is one of the most significant benefits that the
Infrastructure Manager is supposed to enjoy by introducing outsourcing; thus this
point should be carefully verified before making a final decision. Of course, the
outsourcing plan should be approved only when the total estimated cost of
outsourcing is lower than that of owning it [120].
45 Measuring Contractor's Performance

After signing the contract with an appropriate external agent (contractor), the next
concern is to monitor performance, since a certain amount of responsibility is
transferred to the contractor.
The relationship between the individual performance and the metrics is
described in[121].

"The link is simple. If a firm measures a, b, and c, but not x, y, and z, then
managers begins to pay more attention to a, b, and c. Soon those managers
who do well on a, b, and c are promoted or are given more responsibilities.
Increased pay and bonuses follow. Recognizing these rewards, managers
start asking their employees to make decisions and take actions that
improve the metrics. Soon the entire organization is focused on ways to
improve the metrics. The firm gains core strengths in producing a, b, and
.
c The firm becomes what it measures...."

This description warns those Infrastructure Managers trying to introduce

performance metrics to evaluate outsourcer's performance. If the settings of
performance metrics are not appropriate, outsourcers will be misled by them and
result in unexpected performance that will be different from what Infrastructure
Manager expected at the beginning of contract.
In particular, simple metrics are preferred in terms of implementation; however,
a single performance metric is usually not enough to manage outsourcers, because
the scope of outsourced work is not so simple that it can be measured by using a
single scale. Multiple measurement scales are preferred in most cases.
Therefore, generally speaking, special attention is required to effectively
choose combined performance metrics, which cover whole activities that
outsourcers are required to do.
Infrastructure Managerexpects high quality of service with lower costs. In order
to analyse the performance accompanied with cost effectiveness, its necessary to
illuminate these attributes about maintenance activities: inputs, outputs, outcomes,
and value for the Infrastructure Manager as a customer (Figure 169).

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 325327.
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326 45 Measuring Contractor's Performance

Fig. 169 Attributes about maintenance activities (after [120])

45.1 Inputs
Inputs: all the resources that contribute to the production and delivery of outputs.
Inputs are "what we use to do the work".
In railway maintenance, the inputs consist of labour, equipment, and materials.
The funds needed to pay for these resources may also be considered as an input
[120].

45.2 Outputs
Outputs: the final products, or goods and services produced for delivery. Outputs
may be defined as "what we produce or deliver".
In track maintenance, examples of output measures are length of track
maintained, the number of switches maintained, or the restoration of rail breaks
[120].

45.3 Outcomes
Outcomes are the effects and changes that are a result of the outputs. Outcomes
may be defined as what we wish to achieve?. For example, an outcome of
track maintenance could be a better track quality [120].
The ratio of outcomes relative to inputs can be calculated to address the
effectiveness of a program. Typical measures might be an outcome per labour
hour, per equipment hour, or per Euro of expenditure (see Chapter 56).
45.4 Values (or Impacts) 327

One might also examine cost effectiveness (see par. 36.2), which is the cost per
unit of outcome achieved. As one transitions from using output measures to
outcome measures, the emphasis shifts from productivity to effectiveness.

45.4 Values (or Impacts)

Values (or impacts) are customer-oriented outcome measures expressed in terms
of the value received by the customer (results).
46 Types of Contracts and Its Characteristics

46.1 Introduction
(based on [120])
According to a dictionary, the word contract is a legal document that states and
explains a formal agreement between two different people or groups, or the
agreement itself. Each prospective party, who is going to make a contract, has an
expectation toward another party, and negotiates with each other on monetary and
environmental conditions, and finally, if it is acceptable, reaches a formal
agreement. A contract is a product of these rigorous processes[120].
Firms (here the Infrastructure Managers) need to rely, by and large, on the
others' resources and skills to achieve their business goals; thus contracting is a
necessary skill in order to survive. One thing we should mention is that there are
various kinds of contracts to be chosen in terms of
pricing methods (pricing methods vary from fixed-price to cost- plus)
relationship types (relationship types range from traditional to alliance)
ordering types (ordering methods consist of method-based and
performance-based).
Each method has strengths and weaknesses respectively.

Pricing
methods

Contract Relationshop
types types

Ordering
methods
Fig. 170 Contract types

Choosing the appropriate kind of contract that is tailored to the situation is a

key maximizing the benefit from a contract. In this chapter, we will discuss the
fundamental issue about contracting, characteristics of various types of contracts,
and the appropriate combinations to enhance the benefit of contracting.

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330 46 Types of Contracts and Its Characteristics

46.2 Contracts According to Types of Pricing Method

Contract types vary according to

the degree and timing of the responsibility assumed by the contractor for
the costs of performance; and
the amount and nature of the profit incentive offered to the contractor
for achieving or exceeding specified standards or goals.

The specific contract types range from fixed-price, in which the contractor has
full responsibility for the performance costs and resulting profit (or loss), to cost-
plus-fixed-fee, in which the contractor has minimal responsibility for the
performance costs and the negotiated fee is fixed. In between are the various
incentive contracts, in which the contractor's responsibility for the
performance costs and the profit or fee incentives offered are tailored to the
uncertainties involved in contract performance (Figure 171)[120].

Fixed-Price
Contracts

Pricing Cost-Plus
methods (Cost
reimbursement)

Contract Relationshop
types types Incentive contracts

Ordering
methods

Fig. 171 Types of pricing methods contracts

46.2.1 Fixed-Price Contracts

Fixed-price contracts are contracts without any adjustment during the term of the
contract. Careful estimation of the total cost in advance is very important, however
overpayments are usually required, that usually causes problems related to this
payment method. Adjustments are usually based on established prices, actual costs
of labour or material, or cost indexes of labour or material.
Fixed-price contracts are generally appropriate for services that can be defined
objectively and for which the risk of performance is manageable. Simple service
provisions, are suitable for fixed-price contracts.Therefore, employing this method
for a complex service that involves several high risks is not suitable[120].
46.2 Contracts According to Types of Pricing Method 331

46.2.2 Cost-Plus (Cost-Reimbursement) Contracts

A cost-plus (cost reimbursement) contract enables contractors to be reimbursed for
all the cost that is incurred during the contract period. A cost-plus contract is
suitable for contracts that involve high risks for contractors, such as research and
development (R&D) for totally new technology, or a material supply contract
under highly fluctuating raw prices. When uncertainty is too high, contractors
cannot expect enough profit under a fixed-price contract, and then contractors will
not even try to join the bidding. Cost-reimbursement contracts are preferred in
such situations[120].

46.2.3 Incentive Contracts

Incentive contracts are appropriate when a firm-fixed-price contract is not
appropriate and the required services can be acquired at lower costs and, in certain
instances, with improved delivery or technical performance, by relating the
amount of profit or fee payable under the contract to the contractors' performance:
the final payment is not exactly fixed in advance, but will be determined in
accordance with the quality of performance that the contractor has implemented
during the contract period. If the quality of performance doesnt meet the
expectations, some degree of penalty should be forced. Negative incentives are
also required to motivate the contractors.
There are two major tools to activate the incentive scheme, cost incentives and
performance incentives:
First, if the actual cost for the contractor is below the estimated cost, the
saved cost can be shared with the Infrastructure Manager and the
contractor based on an adjustment formula. A contractor, thus, will be
encouraged to perform in a cost effective manner. Most incentive
contracts include only cost incentives.
Second, performance incentives, even though they are not utilized often,
may be considered in connection with specific elements of the
contractor's performance. Positive and negative performance incentives
shall be considered in connection with service contracts for performance
of objectively measurable tasks, when quality of performance is critical
and incentives are likely to motivate the contractors.In addition, when the
Infrastructure Manager's significant concern is the time of delivery,
delivery incentives can be considered.
When the Infrastructure Manager tries to structure a multiple-incentive
arrangement, it should motivate the contractor to try for outstanding results in all
incentive areas. However, incentives can conflict with each other. For example,
when very attractive performance incentives that overcome cost incentives are
provided, the contractor can focus on performance improvement neglecting some
cost overruns. If the Infrastructure Manager's primary objective was low cost, the
result would not be in accordance with the Infrastructure Manager's expectation.
Therefore, arranging multiple-incentives to balance each component is essential to
the success of contracting[120].
332 46 Types of Contracts and Its Characteristics

46.3 Pricing Types and Its Characteristics

The use of fixed-price contracts has been traditionally, limited to projects with
relatively few technological and economic uncertainties. On the other hand, cost-
plus contracts avoid the problem of overpayment by Infrastructure Managers, but
the Infrastructure Managers subjects itself to the problem of potentially higher
costs, because in this scheme there is a limited incentive for the contractors for
cost reduction.
To control the negative incentives of cost-plus contracts, it has become
common practice in the US to replace standard cost-plus contracts with cost-plus-
fixed-fee contracts, so that the firm's profit allowance is fixed rather than being
proportional to actual project costs. Cost-plus-incentive-fee contracts are also
used nowadays, in which the contractor's profit increases proportionally with cost.
As a summary, the relationship between these pricing methods and risk
allocation is shown in Figure 172.

Fig. 172 Relationship between three major pricing methods and risks (after[120])
46.4 Contracts According to Relationship Types 333

Projects with a certain amount of risk and uncertainty (due to the lack of
experience like totally new research and development) are likely to be priced
under cost-plus contract.
Relatively simple tactical contracts(without a risk to be taken care) are likely to
be priced under fixed-price contract.
The problem is how both parties reach agreement in terms of the understanding
of involved risk. If it is agreed and settled in an inappropriate form of pricing
method, both parties will never feel comfortable during the contract term[120].
46.4 Co ntracts According to Relat ionship Ty pes

46.4 Contracts According to Relationship Types between

Infrastructure Manager and Contractors
Takinginto accountthe relationship between the Infrastructure Manager and the
contractors, contracts can be categorized as ([120])
(1) traditional,
(2) cooperative,
(3) partnering, and
(4) alliance contracting.

Traditional
Pricing types
Cooperative
Contract Relationship
types types
Partnering
Ordering
methods
Alliance

Fig. 173 Types of contracts according to relationship types

46.4.1 Traditional Relationship

The legal and contractual framework between Infrastructure Managers and
contractors creates a strong compliance/control relationship relying on extensive
checking and verifying of the contract. This type of contract is appropriate where
the potential for variation during the contract period is low, and the risk of failure
is also low. Disadvantages of this type are poor communication, lack of continuity
between projects, time-consuming administration in processing variations, claims
and negotiations and a tendency for a confrontational relationship.
334 46 Types of Contracts and Its Characteristics

46.4.2 Cooperative Relationship

Cooperative relationships bring the contracting parties closer together and involve
both parties in cooperative management of the contract. This approach
incorporates principles, such as developing trust, obtaining commitment and
improving communication, but does not extend to some of the higher principles
such as risk sharing. This style of relationship can be used as a step to find out
whether there is potential to develop the relationship further.

46.4.3 Partnering Relationship

Partnering is a formal process supported by both a legal contract and moral
commitment by key stakeholders and other parties to act in the best interests of
each other. The basis of partnering is: together we can solve problems and
maximize opportunities. This relationship has existed in the construction industry
in Australia for over 10 years[120].
Partnering relationship can promote contract effectiveness and efficiencies
through: commitment by both parties based on common objectives, equity and
trust, implementation of joint strategies for developing mutual goals and
continuous and joint evaluation.

46.4.4 Alliance Relationship

In the case of alliance relationships the Infrastructure Manager and the contractors
accept a degree of joint management responsibility for the delivery of the
prescribed services. It takes the key elements of partnering to the next level by
having a risk/reward sharing philosophy as well as a transparent or open-book
approach towards all financial matters, including cost and profit.
Alliance relationships are best suited for providing services that are difficult to
define or there is a possibilityto change significantlyover time, critical to an
organization's performance or requiring innovative solutions from the contractors
and creative management by the Infrastructure Manager. Long-term, strategic
contracts when each party relies on each other are suitable, too.
As a tool for measuring performance, key performance indices (KPI) (see par.
56.3) are usually defined in advance according to the characteristics of service.
These indices are also used as evaluation for the contractor's contribution, which
will result in bonuses and penalties for contractors.Alliance is employed to
achieve the following three objectives[122];
To provide extra leverage for the organization's core competencies in
order to deliver long- term sustainable competitive advantage;
To move the organization into long-term and developing commitment to
new markets, territories, or technologies that were previously closed to it;
and
46.5 Ordering Types: Method-Based and Performance-Based Contracting 335

To provide a platform for the kinds of organizational learning that is

central to its future business success, but would otherwise be
unobtainable.
Figure 174 maps the appropriateness of these types of relations according to the
risks and likelihood and significance of failure in the contracted service.

Fig. 174 Relationship Styles, Magnitudes of Risks, and Complexity of Service [resource;
ANAO, 2001]

Risks and complexity associated with the contracted work are the key variables
to determine the appropriate contract structure.

46.5 Ordering Types: Method-Based and Performance-Based

Contracting
In some areas today, the performance-based contract (PBC) is becoming
common.PBC is a contract that defines performance expectations in terms of
outcomes or results (see also 47.1). In contrast, the traditional method-based
contract defines methods and processes to produce the outcomes. The focal point
shifts from output to outcome (par. 45), as shown in Figure 175.
336 46 Types of Contracts and Its Characteristics

Input Output Outcome Value added

Traditional
(method-based
contract)

Performance-
based contract
(PBC)

Fig. 175 Different focus between traditional contract and PBC (after [120])

Traditional method-based contracting requires involvements of the

Infrastructure Manager in every single opportunity when contractor's service
provision takes place, because he needs to diagnose the method of the service.
Usually, quality assurance follows every time, too; thus Infrastructure Manager is
involved frequently and contractor's freedom is limited in terms of choice of
method.
On the other hand, PBC releases the Infrastructure Manager from this
administrative work, focusing mainly on the outcomes of service. Prerequisites are
that both parties agreed the level of service in advance and only qualified
contractors should be chosen. Contractors are free to choose the working method;
thus their productive ideas can be utilized effectively.
47 What Kind of Contracting Is Suitable for
Track Maintenance?

Lets make the hypothesis that the Infrastructure Manager decides to outsource its
track maintenance to an external contractor. The next concern is what kind of
contracting he should choose to ensure that the outsourcing is successful.

47.1 Performance-Based Contracting (PBC)

It is the management practice of transferring or subcontracting some functions,
activities and responsibilities performed in-house to external agents with a
specified level of service to be met [123].
A performance based maintenance contracting is an approach to contracting
that provides incentives and penalties to the contractor to achieve specified targets
for measurable outcomes and outputs [125]. The performance measures are related
to the condition of the different asset type and also to the outcomes of
maintenance on operation, safety and economy.
There are different levels and different scenarios of maintenance outsourcing.
The three key responsibilities differentiating these different scenarios are who
determines:
(i) What asset type to be maintained
(ii) When to maintain
(iii) How to maintain.
The different scenarios are presented in Chapter 49.
The decision of outsourcing could also take into account the responsibilities of
the Infrastructure Manager and the contractor in the maintenance process. When
contractors have major responsibilities to decide what, when and how questions,
is referred to as the performance based maintenance. A remarkable feature of
performance based maintenance is that the Infrastructure Manager does not
specify the maintenance technique but rather defines the performance requirement
of the maintenance function. It is often called functional guarantee contract,
performance based contract, output based contract, full service maintenance,
performance specified maintenance contract, total maintenance contract,
performance contract etc.
A performance-based contract is better than a traditional method-based one
in terms of simplicity and usefulness. In strategic outsourcing, outsourcers are not
only providing specific services written in a contract, but they have a wider range
of rights about their work. In other words, they have rights to choose the way of
performance by making their own decisions.

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338 47 What Kind of Contracting Is Suitable for Track Maintenance?

In order to measure the outsourcer's performance, it is quite important to set

effective packages of metrics that measure the performance.
PBC should be applied only when service provider (contractor) possesses
enough competitiveness.
The adoption of performance based maintenance contract isnt widely accepted in
the railway maintenance but is a well-established practice in road maintenance. A
successful deployment of performance based maintenance contracting in the railway
system will require a robust performance management process: a critical system in
any performance management process is a performance measurement system.

47.1.1 Motivation for Performance Based Maintenance

Contracting
The motivation and advantages of performance based maintenance contracting as
identified by national cooperative highway research program [125] include (see
also par. 44.1):
1. Potential to reduce maintenance costs
2. Potential to improve level of service
3. The transfer of risk to the contractor
4. Incentive for practical innovation
5. Better competence and skills with higher availability
6. Enhanced asset management
7. Change in performance criteria from a focus on inputs and outputs to
customer-oriented outcomes
8. Reduction in contract administration requirements
9. Promise of stable financial obligation and reduced lifecycle cost.

47.1.2 Issues of Performance Based Maintenance Contracting

The fundamental issues to be addressed in outsourcing of maintenance activities

were discussed in [124]91 . In railway infrastructure maintenance, these issues
1

could be technical, management, economic or legal.

It is very important for the Infrastructure Manager to carry out a proper
evaluation of the implications of outsourcing their maintenance. If done properly,
outsourcing can be more effective than in-house maintenance, facilitating the
achievements of maintenance objectives and greater business productivity.
Track maintenance possesses a certain number of possibilities in applying
performance-based contracting. The reasons are;
Outcomes of track maintenance are more important than methods, and
There are several measurable indices for outcomes of track maintenance.

91
The readiness of the company to outsource, what to outsource and six practical steps to
evaluate the outsourcing process are the major issues addressed.
47.1 Performance-Based Contracting (PBC) 339

A traditional method-based contract is the most reliable and steady way for
transportation infrastructure maintenance, because each action, such as inspection
and repair, is double-checked by the railway and by contractors. However, it
requires a lot of contribution for Infrastructure Managers in contract execution.

Incentive Scheme in PBC

As noted before, a planned and controllable part of maintenance should be priced

under fixed-price- incentive-fee contract whose formula can be suggested as
follows:

Payment = Fixed price + Base Profit + Incentive Profit Incentive Profits

= a * f1 (Infrastructure quality) + b * f2 (Operation delay caused by

infrastructure) + c * f3 (Cost incentive)

Where, a, b, c are variables to weigh these factors.

As an incentive part, not only cost incentive, but quality of infrastructure and
contribution to service stability should be considered. The incentive formula can
be customized based on each railway's philosophy; however, incentive should be
directly connected with the desired outcomes that the railway expects, rather than
outputs or other indirect factors.
Figure 176 shows the examples of the formula to figure out the incentive fees,
rewards and penalties, in each component. In setting each formula, it is important
to pay attention that negative incentives should not be so large that contractor can
lose money. The primary aim of an incentive scheme is to increase the contractor's
performance, rather than punishing contractors' inferior performance.
Of course, there could be another set of incentive schemes. However, the
railway should be careful in choosing the combination of components linked with
incentives, in order to build comprehensive and moderate incentives which are
also accepted and agreed upon by the contractors.
In addition, hardship factors should be taken into account for incentives,
especially when multiple contractors are involved.
340 47 What Kind of Contracting Is Suitable for Track Maintenance?

Based on Quality Based on Delay

Based on Cost

Fig. 176 Example of incentive formulas (conceptual) (after [120])

47.2 Contracts with Combination of Fixed-Cost-Incentive-Fee

and Cost-Plus
If the railway is going to outsource most of maintenance, the combination of
fixed-cost-incentive- fee and cost-plus would be suitable in terms of pricing. The
47.3 Contracts Based on Alliance Relation 341

reason is the wide variety of track maintenance, ranging from planned inspections
and repair to unpredictable incidents. In general, the former can be priced under
fixed-cost basis, because its uncertainty is lower than the latter, which should be
priced cost-plus basis due to its high uncertainty. Moreover, there are several
measurable indices in evaluating outcomes of track maintenance, which will be
mentioned later (par. 56).

47.3 Contracts Based on Alliance Relation

In terms of relationship, an alliance relation is better, because
Long-term perspective is essential in track maintenance, and
Both parties need information accumulated individually by each party.
First, track maintenance requires a long-term perspective, thus a single year
contract is not suitable. Long term contracts (5 year or 10 year) are appropriate, if
a reliable contractor is found. Long-term contracts would encourage contractors to
hire high qualified staff and invest in high-quality machinery and equipment
which may be amortized in a contract period.
Second, the maintenance contractor's information about the current condition of
infrastructure is crucial to make decisions about capital investment for upgrading
infrastructure.
In conclusion, performance-based contracting with contractors whose relation
is alliance contract under the combination of fixed-price and cost-plus basis fits
the railway track maintenance outsourcing.
48 Common Risks Associated with Contracting

Well-managed contracts can bring significant benefits to an organization. Risk

management is among the important issues in contract management. The
following table presents some steps for risk management[120].

1st step: The first step in risk management associated with

Completely contract management is ensuring that the contract is
understood of the completely understood by all parties. The three key
contract issues are:
the output that the contracted service supports;
the critical success factors to the delivery of the
outputs
the internal input necessary for the delivery of
the outputs.
2nd step: Risk assessment is the second step. There are two
Risk assessment kinds of risks that should be clarified, contract risk
and contract management risk. Contract risk is the
risk associated with the delivery of the service, in
other words, the probability that the service will not
be delivered in accordance with the requirements of
the contract in terms of time, cost, quality and
quantity. Most of these risks arise externally, which
may be considered uncontrollable. On the other
hand, contract management risk arises from within
the organization. In general, this type of risk is less
likely to occur; however, it may lead to the erosion of
the contractual relationship and ultimately adversely
affect service delivery.
3rd step: After the identification of risks, the third step is risk
Risk analysis analysis. The magnitude of the impact given by each
negative event should be figured out in order to
understand the vulnerability of the system in terms of
service provision. Some alternatives can be suggested
to reduce the impact and enhance stability of service
by accurate risk analysis.
4th step: The final step is risk treatment. The Infrastructure
Risk treatment Manager may accept, control, reduce, or transfer these
risks identified and analysed.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 343.
DOI: 10.1007/978-3-642-36051-0_48 Springer-Verlag Berlin Heidelberg 2013
49 Maintenance Outsourcing Scenarios

The parties involved in the development of the outsourcing scenarios are, as

already discussed:
Owner of equipment: Infrastructure Manager (IM)
Service agent: Contractor
We can distinguish three main decision categories for outsourcing depending on
the responsibility given to the service agent:
D1: What (components) need to be maintained?
D2: When should the maintenance be carried out?
D3: How should the maintenance be carried out

Three basic scenarios can be formulated:

Decisions
Scenarios Infrastructure
Contractor
Manager
S1 D1, D2 D3
S2 D1 D2, D3
S3 - D1, D2, D3

Scenario S1 The IM decides when and what should be maintained. He has

his maintenance strategy (i.e. see par. 32.11), he inspects the
track and dictates the maintenance activities. The contractor
has to decide about the maintenance method and the
organization of the work (incl. needed resources).
Scenario S2 The IM decides what should be maintained. He has his
maintenance strategy (i.e. see par. 32.11), he or/and the
contractor inspects the track and the maintenance activities
have to be determined. The contractor has to decide about the
time to execute maintenance, choose the appropriate method
and organize the work (incl. needed resources).
Scenario S3 The IM sets the maintenance standards. The contractor has
full responsibility for the track maintenance.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 345.
DOI: 10.1007/978-3-642-36051-0_49 Springer-Verlag Berlin Heidelberg 2013
50 Modelling Costs of Service Contract

Total costs of service contract may include the cost of planned preventive
maintenance and corrective maintenance in the form of minimal repairs and
failure replacement, cost of inspections and condition monitoring, cost of risks,
and penalties for failure to meet agreed safety, reliability and availability of
requirements[119].
Therefore, the total expected costs C of service contractis

C= Cs+ Ci+ Cd+ Cr+ Cp

Where,
Cs= total expected costs of maintenance services
Ci = expected costs of inspection
Cd = costs of downtime
Cr = cost of risks associated
Cp = penalties for failure to meet contract agreements.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 347.
DOI: 10.1007/978-3-642-36051-0_50 Springer-Verlag Berlin Heidelberg 2013
51 Infrastructure Data Management in Case of
Outsourcing of M&R Activities

Data management when outsourcing certain important activities is crucial. If an

Infrastructure Manager (IM) has contracted out the maintenance and renewal work
to one or more contractors, the task of the Infrastructure Manager concerning the
collection of infrastructure data will change. Apart from some visual spot checks
of the track from time to time, the IM does not itself collect the infrastructure data
needed. It has to rely on the data collected and presented by the contractors. The
role of the IM turns into one of managing the data collection, instead of
performing it itself.
Therefore in the case that maintenance and renewal (M&R) is outsourced, the
Infrastructure Managershould ask, apart from the above-mentioned aspects, the
following additional questions:

Who is obtaining the data?

How is the data collected?
Who is storing the data?
Is the stored data centralised or decentralised?
Who is analysing the data?
What is the quality of the data?
Who is checking the quality of the data?
How often will the information be updated? (How often should it be
updated?)
Are there mixed interests with the contractors concerning the availability
(and the place of storage) of infrastructure data?

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 349.
DOI: 10.1007/978-3-642-36051-0_51 Springer-Verlag Berlin Heidelberg 2013
52 Cases of Outsourcing Applied

52.1 Case 1: Performance Based Railway Infrastructure

Maintenance in Sweden92 1

The experience in Swedish Transport Administration Trafikverket could be

traced back to 1988 when the Swedish Railways was vertically separated into two
parts: the Swedish National Rail Administration, with responsibility for the
infrastructure management; and the Swedish Railways with responsibility of
running train services.
The responsibility of the Swedish National Rail Administration involves
services and maintenance works on the infrastructure to keep the asset in a
reliable, available and safe state. At t h is time the maintenance and renewal
works were done with in-house resources with little or no engagement of private
or external agents in the engineering works.
The restructuring process proceeded in 1998 when the infrastructure
administration was horizontally separated into two parts: the infrastructure
administration named Banverket, and Banverket Production which had the task of
maintenance, rebuilding and new construction of the railway infrastructure. This
structure was often referred to as client-contractor, which involves a service buyer
- infrastructure administration, and a service provider maintenance contractor.
Since 2010, the maintenance service provider has become an independent state
company competing with other private contractors in the railway infrastructure
maintenance contract market.
The contracting out of maintenance works to competitive market started in
2001 with few players and few contracts. The type of outsourcing differs in
volume of work and responsibility of the contractors. The involvement of the
maintenance service providers (the contractors) in the maintenance process also
vary. However at the early stage of the outsourcing, the labour and equipment of
the contractors were utilized while most of the engineering analysis and technical
function were done in house by the infrastructure manager. The evolution of
the maintenance function in recent years has seen a greater involvement of
contractors in the maintenance management of the infrastructure. Some
infrastructure regions within Swedish Transport Administration now employ
outcome based or functional contracting strategy. Figure 177 shows a picture of
the evolution of maintenance organization with different scenario in timeline
and parties involved.

92
See [123].

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 351354.
DOI: 10.1007/978-3-642-36051-0_52 Springer-Verlag Berlin Heidelberg 2013
352 52 Cases of Outsourcing Applied

Fig. 177 Evolution of railway infrastructure maintenance at Swedish Transport

Administration [123]

PBM = Performance Based Maintenance

All operations done by SJ93 , 2

Traffic operations by SJ and infrastructure management by Trafikverket,

Maintenance outsourced to a public company,
Competitive contractor market with single or bundled activities being outsourced,
Full maintenance service outsourced with performance specification.
In this new trend in maintenance outsourcing, the contractors become largely
involved in the maintenance process not only at the operational level but also
right in the strategic level.

52.2 Case 2: The British Experience From Railtrack to

NetworkRail 94 3

52.2 Case 2: The Britis h Ex perience Fro m Railtrac k to Networ kRail

The development of maintenance as an outsourced activity grew rapidly in the

1990s, with Railtrack being one of the major organisations to adopt this policy in
full. Railtrack outsourced tens of thousands of directly employed maintenance
personnel to a number of contractors predominantly civil engineering companies
operating in the construction sector. Railtracks new approach to maintaining its
infrastructure was widely criticised, the more so after a number of high profile

93
The largest train operator in Sweden.
94
See [126].
52.2 Case 2: The British Experience From Railtrack to NetworkRail 353

maintenance-related accidents, in particular those at Hatfield in October 2000 and

at Potters Bar in May 2002. The government then decided to establish Network
Rail, a not-for-profit mutual company, as a replacement for Railtrack. One of
the early decisions Network Rail made was to take back the maintenance of the
London-to-Reading section in-house.
Within a few months, Network Rail decided to insource all maintenance across
the whole of the rail network, and to re-employ the personnel associated with it.
In recent years, the rail industry has not been alone in driving an outsourcing
policy for maintenance then reversing it there are also examples in the electricity
sector. The water industry has been more cautious in its drive to outsourcing and
the results have been mixed. Benefits have been achieved on the below ground
assets.
For above ground assets, and in particular mechanical and electrical
maintenance, there have been few examples of demonstrably effective contractual
arrangements.
Railtracks task was to maintain the infrastructure and invest in its development
with the Strategic Rail Authority (SRA). How, then, could one of its early
decisions be to outsource the direct maintenance work its core task?
The answer is that this was an act of self-deception: a straight-forward cost
cutting measure to deliver immediate benefits in operational expenditure
(OPEX)95 with no real understanding of the impact on capital maintenance
4

expenditure (CAPEX). And that was not the only impact on railway performance.
As well as the thousands of former British Rail employees who were outsourced
to contracting companies, many experienced and committed employees were lost
to the industry altogether through redundancy and early retirement. These were the
people who knew how things worked.
Mike Levery, the author of the article From Railtrack to Network Rail [126]
refers: In March 1998, I was asked to assist in the resolution of an issue in a
partnering arrangement between Railtrack and two infrastructure contractors.
Railtrack had established a partnering arrangement with the two contractors,
outsourced the employees and established new contractual arrangements.
Railtrack then informed both companies that the volume of work was to be
reduced by 40%, and only one company would be required in future. My role was
to achieve an amicable way forward between all parties within the spirit and
objectives of the arrangements that had been established.
Despite the inauspicious circumstances, an agreement was achieved. However,
what caused me the greatest concern was Railtracks decision, with no obvious
rationale in terms of the impact on asset performance, to cut the volume of work
by such a large amount. There was bound to be an immediate financial benefit,
but what were the long-term implications of a decision such as this? How would
the recently outsourced workforce feel towards Railtrack, having been transferred
to contractors and then faced with redundancy through reduced work volumes? It
is easy to deliver short-term savings on maintaining infrastructure assets that are

95
An operating expenditure or OPEX is an on-going cost for running a product, business,
or system. Its counterpart, a capital expenditure (CAPEX), is the cost of developing or
providing non-consumable parts for the product or system.
354 52 Cases of Outsourcing Applied

inherently robust, but the long-term effects will always surface, sometimes sooner
than expected.
I spoke at a conference in December 1998 on the subject of win/win
partnerships at a forum of potential rail maintenance contractors . I was
asked in the Question and Answer session how contracting companies should
respond to Railtracks request to develop the asset management strategy for the
network. I must admit to having been astounded by this question. No matter what
asset management model you look at, the development of the asset management
strategy is a long way away from the day-to-day maintenance work carried out in
the field. My response was to question whether this requirement was a contractual
obligation and, if not, it could not be considered the responsibility of the
contractor. It is right that maintenance contractors should support the
development of their clients asset management strategy, but not to develop it for
them. Alarm bells were ringing! The demise of Railtrack was not unexpected,
particularly as the government had lost confidence in a Plc96 which continued to
5

demand significant increases in public funding whilst delivering a perceived

poorer service.
Further, the media presented Railtracks contractual arrangements as being
poorly managed, with contractors personnel inadequately trained for carrying
out maintenance work on the railways. It was only a matter of time before an
alternative to Railtrack would be sought.
The decision to establish Network Rail was, in my view, the only option for the
rail infrastructure, as it removed the drive to reduce OPEX97 to meet shareholder
6

aspirations and therefore cut costs on maintenance. Network Rails focus is purely
to maintain the infrastructure efficiently without needing to seek cost-cutting
initiatives to deliver shareholder value. .. Network Rail now had the freedom
to raise its capital resources to meet the railways long-term infrastructure
investment needs.

96
Public limited company.
97
An acronym for operational expenses.
53 Lessons Learned Advices for Outsourcing

In the following, some lessons learned from ProRail (Netherlands) experience and
advice for outsourcing are given [127]:

1. You have to know your business and be in control of it:

i. Only if you can specify and measure it, can you manage it.
ii. Skilled people and dedicated instruments are needed to manage
costs and performance.
iii. Know your infrastructure, costs realised and minimum quality
accepted.
iv. Reorganise your processes, instruments and skills to control
improved results.

2. Do not outsource maintenance if you dont know how to stay in

control of costs and performance.
3. Outsource step by step: plan, separate, split-off and outsource.
4. Outsourcing should not be a goal but a way to improve.
5. Outsourcing needs a cultural change and takes time.

Keep in mind:

The market will not give you anything for free.

Outsourcing is not a solution for your financial or managerial
problems.
Tasks are outsourced, but the end-responsibility for the overall
result not.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 355.
DOI: 10.1007/978-3-642-36051-0_53 Springer-Verlag Berlin Heidelberg 2013
Section IX: Performance and Cost Effectiveness
of the Railway Track

The infrastructure as the main production factor in the railway systems value
chain accounts for a significant part of the full system costs. Therefore, it is very
important for Infrastructure Managers to have a good control of infrastructure
management in general and of costs in particular to improve competitiveness.
Aspects that are discussed in this section include guiding principles for an
effective railway track, methods to measure track performance, benchmarking as a
practical tool for improving performance by learning from best practices and
understanding the procedures by which they are achieved. Furthermore, a method
for estimating costs related to maintenance and renewal of the track are also
addressed.
54 Cost Factors of Track Construction and
Maintenance

Key terms:
Cost factors (construction and maintenance), performance measuring,
Key Performance Indicators (KPIs), benchmarking, Infrastructure
data management, maintenance cost modelling

The infrastructure as the main production factor in the railway systems value
chain accounts for a significant part of the full system costs. Therefore it is very
important for Infrastructure Managers to have good control of infrastructure
management in general and of costs in particular to improve competitiveness.
The following table gives the factors that shape the cost of the superstructure
and explains their significance.

Table 44 The cost shapers of railway superstructure [93]

Cost factors Importance

Initial quality of the
superstructure
Quality of superstructure
Density of switches
Curve radii
Cost of operational
hindrances
The initial quality determines the behaviour of
the track superstructure throughout its service
life. The initial quality can never be restored
through maintenance.
The life cycle cost (LCC) of the superstructure
is affected by different quality grades of the
superstructure. In lines with low traffic, and
poor superstructure, the life cycle cost increases
2 to 3 times compared to lines with good
superstructure, and especially lines with a heavy
traffic load, the increase is up to 8 times higher.
A switch with a radius of the divergent track
with R = 500 m and a length of about 50 m,
corresponds to the life cycle costs of a track
with a length of 450 m. Therefore the least
possible switches have to be installed in the
track.
The life-cycle costs of a curve radius R = 250
m, is about three times compared to a
corresponding segment of tangent track.
The cost of operational hindrances due to
operation in a lower performance level as its
actual potential or due to execution of
maintenance works can reach a value of 30%
of its life cycle cost (LCC) for lines with a
heavy traffic load.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 359360.
DOI: 10.1007/978-3-642-36051-0_54 Springer-Verlag Berlin Heidelberg 2013
360 54 Cost Factors of Track Construction and Maintenance

Table 44 (continued)

Traffic load affects significantly the cost. The

effects are not important as long as
superstructure is correctly sized. In this case the
Traffic load cost increases proportionately. As long as the
superstructure does not correspond to the traffic
passing over it, the cost increases over-
proportionally.
The life cycle cost (LCC) is affected in
Quality of rolling stock approximately 5% if locomotives are friendly
to the track and reaches 10% in extreme cases.
55 Guiding Principles for an Effective Track

Efficiency is doing things right; effectiveness is doing the right things

Peter Drucker

Guiding principles for track construction, maintenance and renewal activities to

assure an effective railway track are given below([14] and [129]):

1. Try for an initial high track quality

The most important cost driver is the initial quality. For permanent way this means
especially a high quality demand of subgrade. Subgrade quality dominates the
behaviour of track. Therefore an excellent substructure quality is a precondition
for any optimization.
a. Subsoil quality
According to information provided by SBB (Swiss), BB (Austria) and Technical
University of Graz/Austria, subsoil rehabilitation in connection with a well-
functioning drainage has the biggest effect to track quality (up to 800%). The
standard should be new construction with a long service life and a high initial
quality. Initial construction costs are about 50 % of rail-borne construction
methods and the service life can be doubled from 40 to 80 years. PSS (formation
protective layers) is always a compromise solution and should be chosen only
where asphalt is not possible.
b. Ballast
Quality, standard and material of ballast has a big influence on Maintenance &
Renewal activities and is a key factor to determine the moment of renewal. Ballast
is the critical element limiting service life of track. Optimization within the
superstructure requires good ballast quality. This analysis indicates that
sustainable track designs require lower stresses in the ballast bed [129].
c. CWR (continuous welded rails)
A track with continuous welded rails has a longer service life and reduced
maintenance, but needs a good track quality (ballast profile, geometry), therefore
Infrastructure Managers prefer continuously welded rail in all scenarios (except,
for instance, in areas prone to mining subsidence and too narrow curves).

2. Keep water away from the track surface

Crucial principle is the drainage of the track body and substructure to guarantee
stability. Never invest in substructure without draining the water. Remove water
from the side of the track as soon as possible using a suitable water
drainage system. Even the best subgrade is badly affected as soon as the

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 361362.
DOI: 10.1007/978-3-642-36051-0_55 Springer-Verlag Berlin Heidelberg 2013
362 55 Guiding Principles for an Effective Track

drainage system is poor and water is kept in track. Drainage is an integrated part
of the technical structure track.
3. Make an effective design and as simple as possible
a. Use standardized track componentsfor a homogenous track.
b. Use track components with low maintenance costs or maintenance free and
with a long service life.
c. Use appropriate materials according to local conditions for achieving optimal
results (speed, load, radius, line gradient, etc.)
d. The number of switches (turnouts) is a main cost driver. Total cost of
switches (turnouts) reach values 9 to 13 times higher than open track, counted
in cost per length of through-going track.
e. Within the alignment the radius is the cost driver, while the gradient seems to
have less importance. Especially radii less than 300 m increase track cost
three times compared to straight sections.

4. Maintain when required

a. Maintain to the correct standard.
b. Use best maintenance practices.
c. Replace technologically obsolete or non-productive track components.
d. Remove track faults/damage at an early stage to avoid accelerating the wearof
the trackfrom damage (i.e. through preventive grindingetc.).

5. Be environmentally astute
Take into account any environmental impacts caused by track work. In particular
pay attention to poor maintenance practices and inadequate drainage which could
cause sediment and erosion issues.

6. Train staff
Ensure staff is well trained and kept up to date with current best practice.

7. Respect and keep historic values

Where the track has distinctive historic values, ensure that this character is
maintained.
56 Measuring the Performance

"Measurement is the first step that leads to control and eventually to

improvement. If you can't measure something, you can't understand it. If
you can't understand it, you can't control it. If you can't control it, you can't
improve it"
H. James Harrington

"You get what you measure. Measure the wrong thing and you get the
wrong behaviours"
John H. Lingle

You cannot manage what you cannot measure

56.1 Measurement of Performance

You can't manage what you don't measure. It is an old management adage that
is accurate today. Unless you measure something you don't know if it is getting
better or worse. You can't manage for improvement if you don't measure to see
what is getting better and what isn't.
Measures of performance have been used by management for a long time to
review current operational capabilities. Such measures have been used to assess
both departmental and corporate performance, as well as trend performance
achieved against established goals and objectives.
It is a good practice to regularly provide management with accurate information
regarding key performance indicators. Such information should be measurable and
used to assess performance and identify areas requiring management attention.
Overall indicators relevant to performance of organization, indicators to measure
progress in achieving goals and objectives, and specific indicators for monitoring
current performance problems and performance in specific functional areas are the
common practice in many industries. Information is presented in a way that
provides recognition of trends and comparison of actual versus expected results
and, where appropriate, clearly indicates corrective action and the results of these
actions.

56.2 Performance Indicators

An indicator can be defined as a number that describes the performance for a
specific activity or occurrence [132]. The number is normally related to a fixed
measurement scale, e.g. the thermometer showing -17o C or the speedometers 75
km/h.

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DOI: 10.1007/978-3-642-36051-0_56 Springer-Verlag Berlin Heidelberg 2013
364 56 Measuring the Performance

If the indicators are extended to measure the performance of working life

related issues, they are called performance indicators; they can be classified in to
seven horizontal main groups, i.e. efficiency, effectiveness, productivity,
budget/profit, quality of working life, innovation, and quality ([132]), see Figure
178. The indicators can later on be aggregated to a performance index.

Effective-
Efficiency Productivity
ness

Quality of
Budget /
working Innovation
profit
life

Quality

Fig. 178 Classification of Performance Indicators[132]

The use of key variables and performance indicators is about management and
control of physical assets and processes on different levels inside an organization.
They provide alarm signals when something in the outcome measures differs from
the expected value: it is important not only to get early warnings when things are
not going in the desired direction but also to be able to diagnose why it is
occurring.

56.3 The Importance of Key Performance Indicators (KPIs)

Key Performance Indicators(KPIs) are key because they measure what is
critical to the success of the company. In many cases managers are not even clear
what constitutes success. This applies throughout industry and commerce, but it is
particularly common amongst companies which have been for many years
dependent on government subsidy, such as railway infrastructure management
companies (IMs)[77].
Success consisted merely in satisfying government and doing whatever they
wanted the company to do which might change with a change of government. It
is difficult even to have a vision or strategy, when it is so dependent upon factors
outside management control. In leading commercial companies on the other hand,
top management ensures that the vision drives the company, and that as many
employees as possible understand exactly what the vision is and what constitutes
56.4 A Case: Banverket Maintenance Performance Indicators 365

success.They are aware what the different measures of success are and what is
critical to creating that success. For them, it is easy then to select key indicators.
The purposes of KPIs include the following:
To identify priority areas for improvement within each IM
To identify the best performing IMs in the different success dimensions:
These will be the ones to emulate.
To help determine how much improvement is possible
To monitor progress over time: if performance has improved, what practices
have led to the improvement?
To monitor an IMs own progress over time, in order to determine if it is
progressing towards its vision and objectives.
To estimate the effect of differences in processes and practices on actual
outcomes
To set targets for improvement

56.4 A Case: Banverket Maintenance Performance Indicators

Today, there exist a number of different measures and asset condition parameters
in Banverket (Sweden) that are used or planned to be in use for follow up purpose
regarding maintenance activities.
In Banverket handbook BVH 824.10 following indicators are described:
Rail head top wear - % of track distance
Rail head side wear - % of track distance
Rifles and waves - % of track distance
Rail defects number of defects per track kilometre and year
Rail defects - % of track distance renewal
Fastening fastening clip force mean value
Sleeper - % of sleeper inspection remarks
Ballast depth ballast depth mean value
Ballast contamination - % of contaminated ballast
Track quality Q-number
Track quality c-error - % of track distance
Track gauge c-limit - % of track distance
Technical status weighting of all indicators above according to a
redefined analysis model
In a report from Banverket regarding the present state of the governmental owned
track infrastructure is several indicators described. The description contains
definition, measurement unit, and data source location:
Number of functional disruptions per track kilometre and year
Number of functional disruptions per track kilometre and year leading to
train disruption
Number of train delay minutes per track kilometre and year
366 56 Measuring the Performance

Number of train delay minutes per train

K-number (track quality)
Q-number (track quality)
Number of emergency and weekly inspection remarks per track kilometre
and year
57 Benchmarking

Benchmarking is the search for best industry practices

that will lead to superior performance
(Robert Camp, Xerox Corp.)

Numerous definitions of benchmarking have been developed. Benchmarking is

defined as a process by which something is measured in relation to best
practice. For Main 98 benchmarking is the art of finding out, in a perfectly legal
and above board way, how others do something better than you do - so that you
can imitate - and improve upon - their techniques".
Benchmarking is a practical tool for improving performance by learning
from best practices and understanding the procedures by which they are
achieved. It should lead to a better understanding of costs and is therefore a mean
for a better planning and forecasting process and helps to set enhancing but
realistic objectives[130].
Benchmarking is a powerful management tool because it overcomes "paradigm
blindness99. Benchmarking opens organizations to new methods, ideas and tools
98
How to steal the best ideas around. J. Main. Fortune, 126, (8), p.p. 102-106. 1992.
99
This phenomenon can also limit our thinking and prevent us from seeing essential factors
outside of our paradigm. The pressure to think in a similar way with our fellowmen and
women, and pure paradigm blindness is lurking us all constantly and everywhere. The
claim of the famous physicist lord Kelvin that flying machines, which are heavier than
the air,like aircrafts, are impossible, represented a mode of thinking, is an example of
paradigm blindness.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 367368.
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368 57 Benchmarking

to improve their effectiveness. It helps crack through resistance to change by

demonstrating other methods of solving problems than the one currently
employed, and demonstrating that they work, because they are being used by
others.
If companies are open to changes, competitive benchmarking is most likely to
be the most valuable. Radical improvements normally only occur by introducing
good ideas from other industries or countries.
Benchmarking is usually used in management and particularly in strategic
management; organizations evaluate various aspects of their processes in relation
with competitors, usually within their own sector. This allows organizations to
develop plans on how to adopt such best practice, usually with the aim of
increasing some aspect of performance.
Although benchmarking may be a one-off event, it is best treated as a
continuous process in which organizations regularly seek to challenge their
practices and follow up their performances over time.
58 Management of Infrastructure Data

For an Infrastructure Managerit is of high importance to have a clear view on the

state of its infrastructure.
To be able to manage the maintenance and renewal process efficiently and
economically, an Infrastructure Managerhas to set up databases describing the
infrastructure and its current state. The databases should provide enough up-to-
date information on the infrastructure in such a structured way that the
Infrastructure Manager can efficiently use this information to develop the right
policy for maintenance and renewal. In case the Infrastructure Manager outsources
the M&R projects, the contractors will be responsible for the input of useful
infrastructure data. The infrastructure managers role concerning the data
gathering process will become more steering, controlling and facilitating.
In the following, we describe the infrastructure data that should be available in
order to make good management possible. It will also elaborate on the data
gathering and storage process, first in a situation where the Infrastructure
Manageris gathering and storing infrastructure data himself and second in the
situation that (a part of) the Maintenance & Renewal (M&R) activities are
outsourced[79].

58.1 Infrastructure Data Management of a Rail Infrastructure

Manager
An Infrastructure Managershould always keep in mind the following aspects:
What infrastructure data is available?
How is it stored (where is it available)?
How is it obtained?
How can I use this data to efficiently manage the maintenance and
renewal process?
It would be more interesting to ask the question: What information should be
available and how should it be stored and analysed?
An abstract from a UIC report100 provides a useful framework of what kinds of
databases are necessary to possess and which kind of data the databases minimally
need to consist of.
The following types of databases have been identified:
The general composition of the infrastructure (system database)
The history of monitoring operations and the result of these
inspections (monitoring database)

100
UIC Way &Works Committee (1996), Maintenance of high speed lines, IF 7/96.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 369372.
DOI: 10.1007/978-3-642-36051-0_58 Springer-Verlag Berlin Heidelberg 2013
370 58 Management of Infrastructure Data

The history of work carried out (action taken database)

The history of incidents and faults (incidents and accidents database)
The inventory of resources and costs (resource and costs database)
The UIC report mentions a list of infrastructure data that minimally should be
available in each of the specific databases. The system database should contain a
description and decomposition that should be followed in all other databases.

58.1.1 System Database

General characteristics of infrastructure components, for example:
Curves, connections, cants gradients, transitions
Structures and earthwork, barriers
Tunnels, anti-noise walls, cut-and-cover sections
Singular points (building and various installations, etc.)
Service and emergency access points
Drainage systems
Position of overhead lines
Switches and crossings locations
Position of signalling installations
Superstructure inventory:
Rails
Ballast
Fasteners
Sleepers
Switches
Level crossings
To be able to plan maintenance activities for the longterm the information in this
database about each infrastructure component should at least include:
Identification number
Location (number)
Building year
Deterioration models
Expected lifetime
The identification number should be a unique key ID to be able to store and
retrieve information about this specific infrastructure component. This number can
be linked to the proposed decomposition of infrastructure and split up according to
a certain hierarchy within a component.
The geographical location (as a number) should be included in the unique
identification number of the component. This location number can be an important
key to link different databases, for example with the use of a GIS interface. In
58.1 Infrastructure Data Management of a Rail Infrastructure Manager 371

many cases it is necessary to retrieve information on infrastructure components

within a certain area, rather than only on a certain type of infrastructure. The
location number within the identification number of a component allows for the
purpose of linking databases.
For the long-term aspect it is sufficient to know when the infrastructure
components have been built and replaced (building year, production year) and
what the expected lifetime of the infrastructure component is, according to
experiences (deterioration models) and expected use.

58.1.2 Monitoring Database

The monitoring database is important to be able to check, for the long-term,
whether the expected remaining service life of the infrastructure component is still
feasible. If not, the system should produce a warning to the Infrastructure
Managerthat the infrastructure component should be repaired or replaced.
The monitoring database should contain up-to-date information on at least the
following subjects:
Recordings relating to track geometry and ultrasonic inspection
Work records for switches and crossings
Evaluation files of the condition of components (sleepers, rails,
fastenings, etc.)
Recordings of corrugation, testing etc.
Two types of data gathering methods feed this database:
1) Data of measurement cars:
Various track condition and geometric parameters are recorded by computerized
measurement equipment on board of a special measurement car. Modern
measurement cars often include also an ultrasonic inspection of the rails, giving
evidence of rail cracks. Other examples are the catenary measurement cars.The
measurement cars pass typically every section in the rail network once or twice a
year, thus updating the monitoring database.
2) Visual inspections:
Visual inspections also provide input for the monitoring database. Employees of
the Infrastructure Manager (IM) walk along the inspection to do visual inspections
on the state of the track. If the IM outsources the maintenance& renewal (M&R)
activities, these visual inspections are often used to check the work done by the
contractors.

58.1.3 Action Taken Database

The action taken database should provide information that enables the
Infrastructure Managerto obtain a more realistic view on the remaining service life
of a component. From the information in this database the IM should be able to
predict for how many years the component should function correctly as a result of
the maintenance and renewal (M&R) actions performed (par. 32.6.4).
372 58 Management of Infrastructure Data

This database should contain information on the following M&R actions:

Work done on the geometry of the track and switches (levelling, tamping,
aligning, local repairs, lifting, etc.)
Work carried out on track components (grinding, replacements of
sleepers, replacements of rails and switch components, welding of rails,
work done on damaged rails, etc.).
Infrastructure renewals

58.1.4 Incidents and Accidents Database

This database contains an exhausting inventory of incidents, accidents and
disturbances as well as their causes and possibly, their remedies.

58.1.5 Resources and Costs Database

This database contains information on all possible resources. Information should
be stored on staff (and contractors when the M&R work is contracted out), the
equipment, track components, tools, rail and vehicle fleet, and cost management.
The last is often stored within an ERP101 system.

101
Enterprise resource planning.
59 Maintenance Cost Modeling102

59.1 Introduction
When rail vehicles run on a track, the wheels cause tangential and normal forces,
as well as vibrations. This results in deterioration, influencing system performance
and limiting life of components on both vehicle and track. In order to maintain the
performance and safety of the system, the track has to be inspected, maintained or
renewed. All these actions result in costs.
A method for estimating costs related to maintenance and renewal of the track
is presented in this chapter.

59.2 Maintenance Cost Modelling

Maintenance costs of track infrastructure consist of preventive maintenance cost,
renewal cost, and corrective maintenance cost as described in the following.
Maintenance costs associated with track have been estimated separately for
different curve radii as different curve radii experience different failure
probabilities and magnitudes.
Mathematical Formulation
Maintenance costs are the most complex cost component of an asset during its life
since maintenance is a long continuous process throughout the asset life. While
the cost of any specified maintenance work on an asset can be comfortably
estimated using engineering costing methodologies, estimating maintenance costs
throughout the asset life is a much more sophisticated process. This is because the
types of maintenance are dependent on many factors, of which the most important
are asset deterioration rates, maintenance policy, and budget constraint.
Maintenance schedules therefore need to be predicted/planned to enable the
maintenance costs to be estimated. Maintenance costs of track must include:

Materials, equipment, and labour

Condition monitoring and inspection
Track possession time
In the following, maintenance cost models have been developed with respect to
the type of maintenance intervention.
General
M Life period of track in MGT (Million Gross Tonnes)
m Gross tonnage per year in MGT
N Life period of track (equivalent to M) in years

102
Based on [18].

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 373376.
DOI: 10.1007/978-3-642-36051-0_59 Springer-Verlag Berlin Heidelberg 2013
374 59 Maintenance Cost Modeling

r Discount rate
K Class of curve radii
CL Average labour cost/hr
L Total length of track section in km
Li Length of ith curve in km

Track inspection cost

The cost due to track inspectionprimarily depends on the interval of track
inspection and is given by:

Tt Mean time to inspect track in hr/km

Cet Equipment cost for track inspection /hr
mt Interval for track inspection in MGT

Track tamping cost

Cost due to track tamping depends on the interval of tamping:

Ttai Mean time to tamp for ith curve in hr/km

Ceta Equipment cost for tamping /hr
mtai Interval for tamping for ith curve in MGT

Rail grinding cost

Cost due to rail grinding primarily depends on the periodicity of grinding and the
number of grinding passes and is given by:

Tgi Mean time to grind for ith curve in hr/km

ngi Number of grinding passes on ith curve
Ceg Equipment cost for grinding /hr
mgi Interval for grinding for ith curve in MGT

Rail lubrication cost

Cost due to lubrication depends on the number of lubricators in the curves and the
cost to maintain each lubricator in terms of filling.
59.2 Maintenance Cost Modelling 375

Tlu Mean time to refill lubrication material for each lubricator in hr

Clu Cost of lubrication material for each lubricator per year
nli Number of wayside lubricators in ith curve

Rail renewal cost

The cost due to rail renewal is given by:

Cr Cost of rail /km

Trri Mean time for rail renewal for ith curve in hr/km
Cerr Equipment cost for rail renewal /hr
mrri Interval for rail renewal for ith curve in MGT

Ballast cleaning cost

Cost due to ballast cleaning primarily depends on the periodicity of ballast
cleaning and is given by:

Tbi Mean time to clean ballast for ith curve in hr/km

Ceb Equipment cost for ballast cleaning /h
mbi Interval for ballast cleaning for ith curve in MGT

Ballast renewal cost

The cost due to ballast renewal is given by:

Cb Cost of ballasti.e. in /km

Tbri Mean time for ballast renewal for ith curve in hr/km
Cebr Equipment cost for ballast renewali.e. in /hr
mbri Interval for ballast renewal for ith curve in MGT
376 59 Maintenance Cost Modeling

Sleeper renewal cost

The cost due to sleeper renewal is given by:

1

Cs Cost of sleeperi.e. in /km

Tsri Mean time for sleeper renewal for ith curve in hr/km
Cesr Equipment cost for sleeper renewali.e. in /hr
msri Interval for sleeper renewal for ith curve in MGT
Fastener renewal cost
The cost due to fastener renewal is given by:

Cf Cost of fasteners in SEK/km

Tfri Mean time for fastener renewal for ith curve in hr/km
Cefr Equipment cost for fastener renewali.e. in /hr
mfri Interval for fastener renewal for ith curve in MGT

Track downtime cost

Downtime on the track occurs due to track possession when maintenance actions on
the track are executed. Train-free periods (maintenance windows) are usually used
for planning maintenance actions, i.e. the hours between two consecutive trains.
However, as the train-free periods are not long enough in most cases, this leads to
train cancellations, train speed restrictions etc., which imply penalties imposed on
the Infrastructure Managerby the traffic operators. Preventive maintenance and
renewal actions are usually planned well ahead so as not to affect the traffic.
However, corrective maintenance on the track generally affects the train operation.
In our case we have considered rail breaks for corrective maintenance.

Trbi Mean time to repair rail break in ith curve in hr

Cer Equipment cost to repair rail breaks i.e. in //hr
Mrbi Mean time to rail breaks in ith curve in MGT
frbi Failure rate of rail (breaks) in the ith curve

In this case, track possession time is calculated as the difference between MTTR
(see 34.3) and train-free period. Hence, the track downtime cost can be calculated
by multiplying the track possession period with the penalty cost.
 Part E
The Future

Study the past if you would define the future

Confucius

I never think of the future - it comes soon enough

Albert Einstein

Education is our passport to the future, for tomorrow belongs to the

people who prepare for it today
Malcolm X
Section X: Future Challenges for the
Infrastructure Manager

Today more trains are running on the track than in the past and the competition
with other means of transportation becomes harder. At the same time there is also
a tendency towards decreased time and funds for maintenance. The characteristics
of the future railway as a system will be discussed in this section.
60 Technological Developments and
Tendencies for the Railways

Most of the tracks have been constructed many years before, but the demands put
on the tracks today are different from the ones when the tracks were built. During
the past decades there were major changes in rail. The maximum axle load
increased significantly, as well as the train speed (Figure 179), the loco power and
the train density. Today more trains are running on the track and the competition
with other means of transportation becomes harder. At the same time there is also
a tendency towards decreased time for maintenance and also decreased funds for
maintenance.
To face the new situations, more effort has to be put on track maintenance to
ensure the issues of safety, comfort, availability and economy.

Fig. 179 Speed records

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, p. 381.
DOI: 10.1007/978-3-642-36051-0_60 Springer-Verlag Berlin Heidelberg 2013
61 The Future Railway as a System

The railway is a complex engineering system with long-life assets. Changes

require an engineering-led vision of the railway, embodying both (Figure 180):
changes to the system using the best of current technology and
a prediction of the changes that may be brought out by new technology.

Fig. 180 Developing and delivering the change (after[102])

61.1 Needs and Requirements for the Railway Infrastructure of

the Future
The characteristics of the future railway as a system will be [102]:
Optimised tracktrain interface: Light, but strong rolling stock running
on precisely-engineered, accurately-maintained track, reducing energy
demand, track maintenance cost and noise;
High reliability, high capacity: Infrastructure designed on lean
principles103 with minimal trackside equipment to minimize scope for
critical failures, with monitoring of components that may result in critical
failures, so that maintenance is focused where it needs to be and faults

103
Definition of lean, as developed by the National Institute of Standards and Technology
Manufacturing Extension Partnerships Lean Network: A systematic approach to
identifying and eliminating waste through continuous improvement, flowing the
product at the pull of the customer in pursuit of perfection.

K. Tzanakakis: The Railway Track and Its Long Term Behaviour, STTT 2, pp. 383391.
DOI: 10.1007/978-3-642-36051-0_61 Springer-Verlag Berlin Heidelberg 2013
384 61 The Future Railway as a System

are detected before they affect service operation, and also promoting
availability of the network by minimizing possession requirements;
Simple, flexible, precise control system: Cab signalling combined with
an intelligent management layer to reduce equipment costs, combined
with an intelligent management layer to offer precise control of train
movement through the network, reducing unnecessary stops, facilitating
energy efficiency through advisory speeds and allowing its full potential
capacity to be realized;
Optimized traction power and energy: Regenerative braking on all
trains, whether on the electric network or through hybrids with on-board
energy storage. Better use of existing electrification and selective extension
where justified by business need. Bi-mode trains capable of running on or
off-wire, based on energy storage and with on-board power only where
needed;
Integrated safety, security and health: Bringing together automated
detection of abnormal behaviour in public areas with better protection of
railway operational areas from intrusion and obstruction whilst
continuing to improve safety of the railway system through
improvements to control;
Improved passenger focus: Exploitation of ticketing, passenger flow,
train movement and train load data to give high-quality information to
passengers throughout their journey, highlighting lowest-cost options,
available passenger capacity, alternative services, routes and modes and
options for journey completion, including bus, taxi and bicycle. Use of
the same data to optimize controller response to abnormal traffic or
passenger flow conditions;
Rationalization and standardization of assets: A rationalized approach
to asset specification, with greater use of modular and commercial off
the shelf (COTS)104 equipment for industry-specific assets such as
rolling stock, based on a whole-life, whole-system cost approach across
all industry partners;
Differentiated technical principles and standards: Application of
differentiated technical principles and standards to railway routes based
on predicted traffic type and usage, allowing cost efficiency to be
optimized whilst maintaining interoperability for passenger trains and
access for commercial freight to all areas of the network, except where it
is agreed that there is no reasonable expectation of future need.

61.2 Filling in the Picture

61.2.1 Optimising the TrackTrain Interface

Steel-wheel-on-steel-rail technology will remain in use for the foreseeable
future, for high-speed and mass public transport as well as for freight.

104
COTS (commercial off-the-shelf) describes ready-made products that can easily be
obtained.
61.2 Filling in the Picture 385

The need to minimize energy use and track damage, and therefore train
mass, will be a major focus of new train design.
Key changes will be:
The use of best-practice design to deliver trains with substantially lower
mass without compromising safety, combining light body shells, with
light bogies, and with interior equipment and furnishings designed within
an overall weight target;
Precisely-engineered, accurately-maintained track, facilitating the
development of lighter trains that cause less track damage and reduce
maintenance cost, thus creating a virtuous circle;
Intelligent infrastructure, monitoring its own health and using on-train
monitoring so that faults are detected before they affect service operation
and help to ensure maintenance is focused where it is needed. The
designers of new infrastructure will need to analyse potential failure
modes and design-in protection against such failures or, where this is not
practical, a process of gradual degradation of service rather than absolute
failure;
Track alignments will need to be maintained to tighter tolerances to
achieve the attainable benefits at the tracktrain interface. The surface
damage and wear of rails and wheels can be reduced through a careful
balance between track quality, curve radius and cant deficiency on the
one hand and wheel profile, conicity and primary yaw stiffness of the
vehicle bogie on the other. Sustainable operational limits will be needed
for track alignment deviations and wheel wear, driven by system whole-
life cost rather than by the much less stringent needs of safety.
Accurately maintained track to the design alignment will be required to
ensure optimum clearances to over-line and platform structures. The need
to carry payloads such as 9 6 containers will necessitate maintenance of
adequate clearances to older structures, which are often at a lesser gauge
than their modern equivalents. The maintenance of better precision and
control of alignment will facilitate the development of sustainable
operational limits for the railway, ensuring that best use is made of
corridor space and that line speeds are made more consistent.

61.2.2 High Reliability, High Capacity

61.2.2.1 Developing the Present System Reconfiguring

Increasing utilization of existing capacity is a very important theme before
increasing the capacity of the system. The systems and incentives need to be put in
place to make better use of assets, so that we encourage existing customers to
modify their usage of the railway towards quiet, off-peak periods when there are
empty seats, empty wagons and even spare train paths available. Peak spreading
and better information can help passengers. Better predictability can help freight
path take-up. However, these initiatives will always have limits.
386 61 The Future Railway as a System

Increasing the capacity of the system to carry passengers or freight implies one
or more of:

Increasing passenger capacity or freight payload per unit length of train;

Increasing the length of trains;
Increasing the number of trains on the network.

For freight, the major thrust in recent years has been to increase gauge, allowing
larger containers and greater bulk to be transported, and this trend will continue.
Increasing payload per unit length implies heavier axle-loads, and for bulk
commodities such as aggregates on specific routes this is likely to be an economic
way of increasing capacity. For most commodities it is likely that lengthening of
trains will prove more cost-effective. However, this may require some investment
in extended loops, new accommodation and road bridges, and terminals.
Increasing the number of trains on the network may require upgrades at several
locations along a route before significant benefits are delivered.

61.2.2.2 Radical Change to the Network Re-engineering

New signaling systems such as ERTMS105 can improve the potential frequency on
individual lines within the network. The ultimate effect will depend upon the
characteristics of each route, and particularly what other capacity constraints are
encountered. Key junctions, terminal capabilities, and the mix of train speeds all
have a role to play, but a clean sheet of paper approach to revising the Rules of
the Plan will be triggered and should also support the removal of differentiated
speeds for freight trains.

61.2.2.3 Network Performance and Availability

Network performance may be improved by reducing the likelihood and impact of
primary delay. Reliance on high-reliability equipment will benefit service
performance by reduction in likelihood of primary delay.
Work on intelligent, flexible operating rules and efficient operations
management may also be of benefit in minimizing the impact as well as
supporting provision of additional capacity. This may allow buffer capacity to
be brought into productive use without increasing overall delay. However, running
additional trains in itself presents a greater exposure to secondary delay in the
event of any disruption.
High reliability of rolling stock will be essential. Figures of 100.000 miles
between service-interrupting failures (between 2 and 4 times the current UK level)
are already achieved elsewhere. Reliability will be promoted by an approach based
on harmonization of basic elements, standardization of interfaces and evolution of

105
The European Rail Traffic Management System (ERTMS) is an initiative backed by the
European Union to enhance cross-border interoperability and signalling procurement by
creating a single Europe-wide standard for train control and command systems.
61.2 Filling in the Picture 387

proven components around a modular concept, such as that being pursued by the
European MODTRAIN project106.
Track maintenance will be planned on a predict and prevent basis, based on
monitoring assets by train-borne equipment, and use of intelligent infrastructure
noting trends and rates of deterioration and making planned interventions before
an asset fails. Access to near-real-time asset status information will allow
predictive maintenance to be a reality, greatly reducing network downtime and
avoiding premature renewals.
Network Rail is assembling a comprehensive database of information
associated with their infrastructure assets and records of its conditions. The data
will be available to the asset engineers to assist determinations of deterioration
rates and thus maintenance needs. This knowledge bank is populated with the core
asset data and data received from track recording trains as well as track-based
recording sensors monitoring trains.

61.2.2.4 24/7 Railway

Availability of the network 24 hours a day and 7 days a week (24/7) will be
enabled by current and future technology. High-output systems for renewals and
ballast-cleaning allow work to be undertaken on a single line with the adjacent
line open to traffic under bi-directional working arrangements. Planning around
suitable diversionary routes (with equivalent freight capabilities) will be promoted
where possible. In the longer term, alternative track formations such as slab track
will minimize maintenance needs, especially on critical sections without
diversionary routes or where traffic requirements too intensive for single line
working have to be accommodated.
New systems, procedures and equipment will be required to provide a 24/7
railways as the norm. This will be achieved through maintenance and renewals
being undertaken when the network is more lightly used and reduced capacity
would be acceptable. The number of trains, including passenger, empty stock and
freight trains, is much reduced in the late evening through to the early morning, a
period of 58 hours. In this period, the train timetable will be planned to use half
the normally available infrastructure, such as two tracks of a four-track section or
single line working on a two-track section. On a four-track section, the reduction
to two tracks will halve the capacity, subject to the arrangement of lines and their
relationship to platforms where the passenger services normally stop. On two-
track sections, the capacity will be much less than half and the open line will be
working bi-directionally.
Possessions will need to be taken and given up in 1015 minutes to give time
for significant units of work to be completed in an 8-hour period.

106
MODTRAIN stands for Innovative Modular Vehicle Concepts for an Integrated
European Railway System, and as Integrated Project it is the first of its kind in the area
of joint European railway research. The project officially started on 1 February 2004
with a total project duration of four years. MODTRAIN had to define and prove the
necessary functional, electrical and mechanical interfaces and validation procedures to
deliver the range of interchangeable modules, which will form the basis for the next
generation on intercity trains and universal locomotives (http:// www.modtrain.com).
388 61 The Future Railway as a System

Normal maintenance operations, such as tamping, rail grinding, rail stressing

and defect removal, can be undertaken with adjacent lines open. Renewals,
however, have always been more problematic. The new high-output track
renewals system and ballast cleaners can and do work with adjacent lines open
however, traditional renewals have required a second line for rail cranes. Factory-
assembled modular switch and crossing units with pre-commissioned signalling
equipment will be installed or replaced within an 8-hour possession.
These systems, work practices and infrastructure designs will enable extension
of the maintenance and renewal of infrastructure that can be undertaken with
trains running alongside work sites, particularly on two-track sections, and all
within 8-hour possessions.
This higher level of availability will be needed despite the additional stress
placed on the network through climate change. Higher temperature ranges will
require more frequent rail stressing, and more frequent and more intense storms
will find weaknesses in drainage and vulnerabilities to embankment slip, bridge
scour and wind, particularly for overhead electrified lines.

61.2.2.5 Operational Planning

Traditionally, the railway has relied on knowledge of the network in its
incremental approach to the development of timetables. Capacity is determined by
experience-based Rules of the Plan, which set pragmatic headways and junction
margins. When major changes are being carried out, analysis of capacity is made
at the scheme design stage, but this is usually related to the changed area only. To
maximize the use of latent capacity in the network, a fully integrated approach is
needed.
The Infrastructure Managers have to develop a detailed data model of the
infrastructure, which will support both engineering change management and
operational planning, together with an approach to timetabling based on analysis
of train and infrastructure capability using margins set within a bottom-up
model. The model will reflect train and infrastructure reliability as well as
operational capability. Such a model will also support fast analysis of short-term
timetable changes.

61.3 Simple, Flexible, Precise Control System

The current railway control system is complex, has a high infrastructure
equipment count, is expensive to maintain and exposes maintenance workers to
trackside risks. It is focused on maintaining safe train separation, with little in the
way of a system management layer, and is imprecise and hugely variable in terms
of the precision of train tracking through the network.
The vision for the future is a system in which intelligent trains each send their
own location, derived through data fusion combining satellite positioning data
with odometry and balise information, back to a small number of control centres.
These will control safety-critical train separation through movement authorities
and manage train regulation through driver advisory speeds or timings to
minimize delay and save energy.
61.4 Optimised Use of Energy 389

Track-based train detection will be eliminated, except at key nodes and

junctions, where axle-counter detection will facilitate rapid clearance and
degraded-mode operations. The (imperfect and opportunistic) ability of the
conventional track circuit to detect rail breaks should migrate to infrastructure
systems designed for the purpose. Overall, a simple, flexible system will:
Improve safety, through provision of Automatic Train Protection and
reduction in risk to trackside workers;
Enhance capacity, by decoupling signalling layout from train
performance and signal sighting constraints, thus reducing line headways
and junction occupation times, with support for Automatic Train
Operation where needed for operational reasons;
Improve service performance, through elimination of primary delay
arising from failures in line-side signalling equipment, and through
gradual degradation in partial failure conditions;
Reduce costs, through reduction in the quantity of equipment to be
installed and maintained;
Provide bi-directional signalling as standard to improve flexibility in the
event of disruption;
Facilitate simpler and more optimal electrification schemes by removing
signal sighting constraints.
GSM-R will be the operational radio system initially, but this will develop through
GPRS to a high-speed operational data-transmission system, working bi-
directionally with high availability between train and track.
Future communication-based cab signalling will build on the original ERTMS
concept, including both safety and traffic management layers and incorporating
satellite-based tracking into the architecture, allowing track-based train detection
to be eliminated. Virtually all trains will be fitted with the system unless clearly
operating only in yards or on dedicated freight or community lines.

61.4 Optimised Use of Energy

The right long-term solution for rail is one that minimizes its carbon footprint and
energy bill.

61.5 An Integrated View of Safety and Security

The track record of the rail mode in terms of safety is good. Despite extensive
publicity of accidents, the risk of death or injury from a railway accident is not a
major concern for most passengers. Given current trends, personal security in the
face of crime and terrorism is likely to be perceived as much more of an issue by
passengers in the future and, when passengers decide whether or not to go by
train, they see safety and security as aspects of safe travel.
390 61 The Future Railway as a System

Most major safety risks now arise externally to the rail network level
crossings, vandalism, bridge strikes and these can be expected to be addressed
progressively.
The safety balance will change in the next years:
Full automatic train protection will be an inherent component of the new
control system, which will have been deployed across most of the
network;
Level crossings will be reduced in number and better protected using
Closed-circuit television (CCTV) or radar-based obstacle detection,
coupled with direct communication with the train, so that train speed can
be reduced to a level at which collision with a road vehicle is very
unlikely to cause derailment. On the highway side, stricter enforcement
coupled with measures such as central dividers at half-barrier crossings
should improve compliance;
Detection of infrastructure failures through measures such as condition-
monitoring by fixed equipment or trains carrying measurement
equipment will be extensively adopted for economic as well as safety
reasons;
Better redundancy and fall back modes will reduce dependence on the
fail-safe principle, which in practice leads to continued operation under
manual control and without support of safety systems;
Error rates and human failures during both train and infrastructure
maintenance will be reduced through better testing and better quality
control.
Security will be an integral aspect of railway systems, even those not having a
safety-critical prime function:
Access control through continued use of gating on stations will be
extended;
Scanning for passenger numbers and weapons remains an option,
although the risk needs to be balanced against the disadvantages in terms
of capacity;
Closed-circuit television (CCTV) will continue to be developed,
including automatic face recognition and detection of abnormal
behaviour;
Open train interiors, promoting better visibility of passenger activity;
External TV and sensors may be employed on trains to detect intrusion.
Concern over public health will be a major issue for public transport, implying
demand for:
Better air conditioning with active filtration of recycled air;
Anti-bacterial and anti-viral coatings;
Elimination of uncontrolled-emission toilets.
61.6 Improved Passenger Focus 391

61.6 Improved Passenger Focus

Although major investment in trains has benefited passengers directly in terms of
comfort, cleanliness and reliability, the same level of attention has yet to be paid
to passenger information in its widest sense or to stations. Smart ticketing systems
are already being rolled out and will rapidly become more integrated with both
passenger information and financial systems, initially through the use of mobile
phones fitted with Near Field Communications.
Glossary

Term Chapter Definition

Systematic and coordinated activities and

practices through which an organization
optimally and sustainably manages its assets
Asset
32.4.1 and asset systems, their associated
management
performance, risks and expenditures over
their life cycles for the purpose of achieving
its organizational strategic plan.

The ability of a product to be in a state to

perform a required function under given
Availability 34.2 conditions at a given instant of time or over
a given time interval assuming that the
required external resources are provided.

A process by which something is measured

in relation to best practice.
The art of finding out, in a perfectly legal
Benchmarking 57 and above board way, how others do
something better than you do - so that you
can imitate - and improve upon - their
techniques.
The ability that the track system will meet its
Capability 34.9
required objectives.
The maintenance carried out after
Corrective recognition and intended to put an item into
32.6.3
maintenance a state in which it can perform a required
function.
Deterioration or The reduction of the original quality due to
18
degradation various influences.
Non-conformance to some defined
performance criterion.
Failure 34.4.1
The termination of the ability to perform the
required function.
394 Glossary

A physical situation with a potential for

Hazard: 34.2 human injury.

The continuous or periodical measurement

of the condition of infrastructure components
and/or subsystems. Monitoring systems can
provide information on the condition or use
Infrastructure
31.2 of the infrastructure. Monitoring information
Monitoring
from measurement systems was the main
focus of the working group, which devoted
less attention to sampling databases or
visual inspection data in its studies.

Life cycle cost of an item is the sum of all

funds expended in support of the item from
its conception and fabrication through its
operation to the end of the useful life.
Life cycle cost 36
ISO 15686-5107 defines LCC the cost of an
asset, or its parts throughout its life cycle,
while fulfilling the performance
requirements.

The probability that a given active

maintenance action, for an item under given
conditions of use can be carried out within a
Maintainability 34.2
stated time interval when the maintenance is
performed under stated conditions and using
stated procedures and resources.

Combination of all technical and

administrative actions, including supervision
actions, intended to retain an item in, or
restore it to, a state in which it can perform
Maintenance 32.5.1 a required function.
Maintenance is a set of organised activities
that are carried out in order to keep an item
in its best operational condition with
minimum cost acquired.

107
ISO 15686-5 Buildings & Constructed Assets: Service Life Planning: Life Cycle
Costing.
Glossary 395

Maintenance
intervention The basic principles by which an
policies or 32.11 Infrastructure Manager is guided in doing
maintenance maintenance of his assets
policies

A description of the preventive and

predictive maintenance and inspection tasks
Maintenance
32.5.3 to be performed at maintenance objects. The
plan
maintenance plans describe the dates and
scope of the tasks.

The process of identifying maintenance

needs, contractor capacities, material
Maintenance availability and available budget in order to
32.5.4
planning process provide useful and realistic data input for
rail infrastructure maintenance planning
systems
an arrangement of the types of
maintenance, which is to be done to the track
Maintenance
32.5.2 and its components, at a specific rate or
strategy
frequency, under specific operating
conditions
the probability that the track system is
Operational
34.9 operationally available during the train
availability
traffic
probability that during the train traffic
Operational
34.9 operation, the track system will not suffer
reliability
from any failures

Overall long-term plan for the organization

that is derived from, and embodies, its
Organizational
32.4.1 vision, mission, values, business policies,
strategic plan
stakeholder requirements, objectives and the
management of its risks
396 Glossary

A set of activities that are performed on

plant equipment, machinery, and systems
before the occurrence of a failure in order to
protect them and to prevent or eliminate any
degradation in their operating conditions.
Preventive
32.6.2
Maintenance The maintenance carried out at
predetermined intervals or according to
prescribed criteria and intended to reduce
the probability of failure or the degradation
of the functioning and the effects limited

A documented set of time scheduled

activities, resources and events serving to
implement the organisational structure,
RAM responsibilities, procedures, activities,
34.2
programme capabilities and resources that together
ensure that an item will satisfy given RAM
requirements relevant to a given contract or
project.

An acronym meaning a combination of

RAMS 34.2 Reliability, Availability, Maintainability and
Safety.

The probability that an item can perform a

34.2 required function under given conditions for
a given time interval (t1, t2).
Reliability
Probability that a system or component will
work without failure during a specified time
34.4.2
interval, with consideration of given
operating conditions and environment.

Any major substitution work on a subsystem

or part subsystem which does not change the
overall performance of the subsystem.
Renewal 32.5.6 The term renewal includes all activities
involved in replacing a rail infrastructure
part or object by a same or similar type of
rail infrastructure part or object.

Safety 34.2 Freedom from unacceptable risk or harm.

Glossary 397

Total period during which it remains in use,

or ready to be used, in a productive process.
The assumed period for which a structure or
part of it is to be used for its intended
purpose with anticipated maintenance but
without major repair being necessary.
Service life of an
32.10 A period of time after installation during
asset
which a structure (or its parts) meets or
exceeds the performance requirements.
The period of time over which the track
provides adequate performance and function
with anticipated maintenance but without
major repair being necessary

Assembly of sub-systems and components,

System 34.1 connected together in an organised way, to
achieve specified functionality

The probability that a system may

successfully meet an overall operational
System- demand within a given time and when
34.9 operated under specified conditions.
Effectiveness
The ability of a system to do a job for which
it was intended.

The stiffness of the spring k per unit length of

Track modulus 16.1
track.
The elastic rail deflection that takes place
under a wheel loading.
Track stiffness 16.1
Track stiffness is the ratio of the load
applied to the rail to vertical rail deflection.
Any major modification work on a subsystem
Upgrading 32.5.5 or part subsystem which improves the
overall performance of the subsystem.
398 Glossary

Economic assessment considering all agreed

projected significant and relevant cost flows
over a period of analysis expressed in
monetary value. The projected costs are
Whole Life those needed to achieve defined levels of
40 performance, including reliability, safety
Costing
and availability.
The systematic consideration of all relevant
costs and revenues associated with the
ownership of an asset.
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Index
A Beam on Elastic Foundation 65, 71, 79
abrasive wear. see wear
achieved availability 265
active control of vehicle dynamics 89,
109
alert limit 196, 238, 239
allowable stress design 201, 202
Alpha disaster 223, 224
aluminothermic weld 154
asset management 201, 223229, 338,
354, 393, 403
asset management policy 227, 229
asset management system 227
attrition 134, 138, 139
availability 31, 180, 183, 213, 214,
217, 218, 223, 230, 232-236, 243,
255, 256, 260-266, 273, 274, 291,
296, 299, 301, 302, 303, 304, 306,
338, 347, 349, 381, 384, 386, 387,
388, 389, 393, 395, 396, 398, 405
axle load 46, 55, 56, 72, 89, 92, 115,
118, 120, 122, 123, 131, 144, 183,
213, 271, 381
B car-body 59
ballast 42, 43, 4954, 5658, 65, 66,
6870, 7376, 79, 8287, 92, 95, centre plate 61
100, 103, 111, 115, 116, 119, 120,
122, 131145, 147, 148, 150, 152,
157, 158, 161, 162, 164, 165, 172,
173, 212, 214, 271, 361, 365, 375,
387, 388
ballast cleaning 206, 207, 246, 247,
375
ballast cleaning cost 375
ballast deterioration 213
ballast pockets 135, 139, 162
ballast renewal 375
ballast renewal cost 375
ballast undercutting 145
baseplate 86
beam theory 71
benchmarking 32, 212, 337, 359, 367,
368
bending moment 71, 72
bending stiffness 80, 86, 105
bending stresses 86, 119, 120, 150
BOEF method 73
BOEF model 73
bogie 40, 5962, 69, 70, 92, 108, 109,
111, 129, 385
bolster 61
bowl 61
braking forces 119, 123
bridge 65, 77, 78, 82, 83, 85, 87, 103,
388, 390
buckling 123, 153
C
cant 130, 214
capability 274, 283, 393
capacity 179, 180, 219, 388
capacity management 183
car body 60 62, 69, 70, 85
catch drains 158
cause - consequence analysis 272, 273
centrifugal forces 119
cess drains 158, 173
classical beam theory 71
coefficient of friction 96, 108, 111, 129
comfort 215, 217
consequence 74, 110, 116, 255, 259,
266, 269, 273
consequence analysis 268
constant k 79
contact force 41, 78, 82, 83, 89, 91, 93,
104, 108, 123, 194, 402
contact mechanics 107
contact pressure 92
contact profiles 50, 51
408
contact stress 91, 123
contact surface 92, 127
continuous welded rails 361
continuously supported models 70, 71
contract 31, 32, 260, 301, 315, 325,
329, 330, 331339, 341, 343, 347,
351, 396
contractor 230, 299, 301303, 315,
319, 322, 323, 325, 330332, 334,
336339, 341, 345, 351, 352, 354,
395
corrective maintenance 230, 235, 265,
347, 373, 376
corrective maintenance 117, 231, 233,
393
corrugation 46, 47, 97, 100, 115, 118,
123, 128, 129, 150, 213, 214, 215
371, 400, 403
cost effective track 218
cost shapers 359
cost structure 307, 317
cost-effectiveness 260, 282, 283
cost-effectiveness analysis 282, 283
cost-plus (cost reimbursement) contract
331
crack 124, 125, 128, 129, 368
cracking 42, 85, 111, 119, 123, 129,
131
creep forces 108, 152, 153
critical success factors 255, 259, 293,
343
crossing 41, 102, 103, 105, 106, 152,
153, 388
culvert 134, 138, 160, 161, 169, 170,
171, 245, 248
curvature 91, 92, 122, 130, 214, 271
D
damper 61, 65, 66, 71, 75, 76
decision making 255, 257, 280, 287,
299, 315
defects 149, 150, 215, 403
deflection 53, 56, 66, 70, 71, 72, 76,
78, 79, 80, 84, 86, 397
deformation 82, 85, 91, 93, 123, 124,
127, 135, 136, 139, 144, 145, 147, 248
degradation 42, 46, 66, 82, 83, 100,
114118, 120, 121, 123, 124, 133135,
144, 176, 183, 185, 191, 233, 291, 308,
385, 389, 393, 396, 399, 400
depreciation 307, 308
Index
derailment 44, 110, 120, 129, 212214,
238, 249, 261, 291, 390
design life 239
deterioration 39, 43, 79, 82, 83, 85, 87,
114117, 121, 122, 131, 133, 135,
175, 182, 183, 186, 187, 191, 210,
211, 213, 218, 221, 234, 239, 240,
242, 244, 246, 291, 370, 371, 373,
387, 393, 399, 400, 402
deterioration process 115, 243
diamond 102, 103, 105, 106, 152, 153
Diolkos 5, 6, 21
discontinuities 40
discount rate 257, 284, 285, 286, 287,
306
discretely supported models 70, 74
distance grain 131, 132
downtime 261, 264, 266, 299, 301,
302, 304, 347, 376, 387
drainage 57, 58, 85, 115, 122, 134,
135, 137, 138, 144, 145, 152, 157,
158, 160162, 164168, 172, 174,
361, 362, 388
drains. see drainage
driving forces 117
dynamic behaviour 65, 66, 70, 84, 92,
402
dynamic effects 73, 92
dynamic forces 39, 40, 43, 46, 47, 77,
85, 86, 95, 105, 115, 117, 118, 120,
122, 149, 150
dynamic interaction 92
dynamic loads 55, 57, 92, 95, 116, 129,
183
dynamic ride loads 40
dynamic system 65, 77
Dynamic Wheel / Rail forces 41
E
economic analysis 279
economic evaluation 279, 284, 289
economic life 238
economy 218
elastic behaviour 91
Electric Flash-butt Welds 154
embankment 76, 82, 83, 103, 117,
137140, 157, 158, 160163,
167169, 171, 388
environment 24, 29, 37, 55, 97, 116,
144, 191, 217, 233, 235, 259, 262,
265, 268, 271, 306, 396, 399
Index
ERTMS 386, 389
Euler Bernoulli beam 65, 71
excitation 85, 96, 97, 101, 149, 402
excitation frequencies 96
expansion joints 105, 248
external agent 319, 325
extraordinary event 249
F FTA 272, 300
failure 104, 110, 121, 129, 134, 135,
136, 137, 144, 151, 153, 157, 161,
167169, 189, 202, 209, 211, 212,
222, 232, 233, 256, 261264, 267,
270276, 291, 300, 301, 322, 333,
335, 347, 373, 385, 389, 396
Failure Block Diagram Analysis 272,
273
failure categories 266
Failure Mode and Effects Analysis 272
Failure Mode, Effects and Criticality
Analysis 272
failure prevention 222
fastener 54, 66, 271
fastener renewal 376
fastener renewal cost 376
fastening 53, 55, 56, 65, 66, 86, 92,
127, 131, 365
fastening system 66
fatigue 43, 82, 87, 100, 104, 111,
115, 120, 121, 123, 126, 127, 129,
151153, 212, 400, 402
fatigue 119, 155, 400
fault development 189
fault size 189
Fault Tree Analysis 272, 300
faulty components 116, 191
field face 51, 90
field face 90
filling grain 131, 132
fine grain 135
fishplated joints 105
fixed-price contracts 330
flats 46, 89, 103, 104, 118, 119, 149,
150
FMEA 272
FMECA 272, 300, 301, 303
force limits 43
forces 39, 4044, 46, 47, 50, 54, 55, 59,
69, 82, 83, 85, 86, 92, 95, 99, 100,
102, 105, 108, 109, 117122, 124,
127, 130, 144, 149, 150, 153, 373
409
formation 53, 58, 108, 129, 135,
138141, 144, 145, 157, 158, 161,
162, 164, 269, 361, 401
friction 89, 95, 96, 107, 108, 110, 111,
129, 132, 141, 152, 271
friction management 129, 400
friction modifiers 89, 107, 108
frog 102, 103, 105, 106
functional analysis 299
functions of the track 49
G
gauge 90, 129, 214
gauge face 51, 90, 122, 129, 130
geogrids 145
George Stephenson 15, 22
global track stiffness 82
grinding 89, 111, 112, 120, 122,
128131, 206, 212, 213, 214, 246,
247, 271, 281, 362, 372, 374, 388,
400, 401, 402
GSM-R 389
H
Hatfield 110, 353
hazard 260, 269, 270, 273, 394
hazard rate 261
hazard severity level 268
Hazardous Operability Analysis 272
HAZOP 272, 273
head checks 128, 213
Hertz 91, 93
Hertzian Contact Theory 89, 90
Hertzian spring 93
hollow 115, 141-144, 271
horse drawn trains 11
horse-drawn railway 11, 12
hot mix asphalt underlay 145
I
immediate action limit 238, 240, 241
impact forces 39, 4143, 46, 47, 86,
103, 104, 118, 120, 149
impact loads 89, 96, 97, 103
incentive contracts 331
inelastic behaviour 147
infrastructure management 182, 183,
218, 351, 352, 337, 359, 364
410
infrastructure manager 24, 28-32,
130, 178, 181, 189, 197, 209, 210,
212, 213, 219, 227, 228, 234, 235,
238243, 256, 259, 260, 262, 264,
267270, 287, 299, 301, 302, 308,
319323, 325, 331, 333, 334,
336338, 343, 345, 349, 369,
371, 376, 395
infrastructure monitoring 210
inherent availability 265
inhomogenities 115, 140, 141
initial construction costs 300
initial quality 175, 176, 186, 187, 205,
209, 307, 359, 361
inputs 326
inspections 220, 341, 347, 369, 371
insulated joints 82
interaction 37, 65, 66, 69, 82, 83, 85,
92, 107, 120, 122, 123, 152, 192,
399, 400, 401
intermediate life 116
intervention limit 196, 238, 239, 240
irregularities 37, 39, 40, 60, 61, 62, 83,
84, 89, 94, 95, 96-101, 103, 105, 115,
127, 140, 144, 149, 202
isolated defects 196
isolated irregularities. see irregularities
J maintenance planning 201, 230, 395
James Watt 13
K maintenance strategy 30, 210, 219,
Key Performance Indicators 364
L manual-labour-based economy 219
lateral force limits 43
lateral loads 39
LCC analysis 244, 257, 260, 284, 291,
293, 299
LCC calculation 281, 284
LCC process 291, 292
LCC tools 236
life cycle 87, 183, 226, 227, 257, 262,
267, 268, 275, 276, 279, 287, 288,
291, 292, 305, 306, 359, 360, 394
life cycle costing 279
lime-cement pillars 145
long wavelength 39, 89, 97, 98
long wavelength irregularities 37, 98, 101
Index
long waves 100
longitudinal forces 66, 121, 123
longitudinal loads 39
lubrication 89, 95, 111, 122, 129, 130,
212, 214, 248, 271, 374, 375, 400, 401
M
machine-based manufacturing 219
maintainability 183, 255, 257, 260,
261, 266, 394, 396, 404, 405
maintenance 5, 17, 29, 30-32, 84, 85,
92, 110-112, 117, 120, 125, 129, 131,
138, 152, 153, 157, 160, 161, 176,
180-199, 201, 205, 209, 210, 213-
224, 230-249, 255-257, 259-262,
264-266, 271, 274, 276, 280-283,
291, 293, 296, 297, 300-303, 307-
311, 299, 315, 319-326, 337-341,
345, 347, 349, 351-355, 337, 359,
361, 362, 365, 369-373, 376, 379,
381-390, 393-400, 404
maintenance actions 180, 201, 205, 210,
244, 247, 257, 260, 281, 291, 376
maintenance activities 244, 271, 315, 345
maintenance costs 240, 243, 338, 373
maintenance cycles 205, 240
maintenance plan 230, 243
maintenance policy 239, 240, 241, 242
maintenance process 240, 242, 351,
352
223, 231, 236, 237, 281, 301
maintenance strategy 210, 230, 395
maintenance types 223
mass 40, 42, 43, 46, 61, 65, 66, 68, 69,
71, 73, 74, 75, 77, 78, 82, 85, 92,
102, 105, 118, 119, 127, 194, 201,
405
mass production 221
Mean Active Maintenance Time 261,
265
Mean Down Time 261, 265, 266
Mean Maintenance Hour 261
Mean Time Between Failure 261, 262,
265
Mean Time Between Maintenance 261,
265
Mean Time to Repair 261, 265
mechanical characteristics 65, 129
Index
mechatronics 107, 109
mitre drains 158
models of track 70
MODTRAIN project 387
modulus of elasticity 80, 91, 192, 193
moisture 57, 134, 135, 138, 140
monitoring system 209
moving load 71, 73
mud pumping 136, 138, 139
multi-annual contracts 31
N planning process 230, 395
net present value 284, 292
noise 37, 87, 89, 97-99, 104, 108, 111,
120, 123, 128-130, 217, 370, 383
NPV 284-287, 292
O predictive maintenance 231, 234
offshoot drains 159
old age period 117
operational availability 265, 274, 283
operational characteristics 245
operational hindrances 307-309, 359
operational reliability 274, 283, 395
optimization 218, 244, 239, 255, 361
optimization process 239, 255
organizational strategic plan 224, 395
organizational structure 226
oscillation 37, 89, 97, 98, 103
oscillatory systems 92
outcomes 326, 338
out-of-round wheel 101
outputs 326
outsourcing 299, 315, 317, 319, 320,
355, 404
P 189, 259, 340, 359-361, 399, 402-404
P1 Forces 41, 43
P2 forces 41-43
PAS 55 224, 226, 227, 229, 403
performance 29, 30, 32, 35, 66, 80, 87,
95, 129, 134, 153, 162, 172, 189,
199, 205, 209-214, 218, 224-231,
233, 235, 238-242, 251, 256, 262,
267, 277, 279, 288, 300-306, 315,
317, 319, 321, 325, 329, 330, 331,
334, 337-341, 352, 353, 355, 359,
363-368, 373, 386, 389, 393, 394,
396-401, 403, 405
411
performance based maintenance
contracting 337, 338
performance Indicators 359, 363-365,
399, 405
performance-based contract 335
physical life 239
piers 145
pinned pinned frequency 73, 75, 76
pin-pin vibration 65, 74
plain track 77, 85
Plan-Do-Check-Act 229
plastic flow 123
pollution 141, 144
possession time. see track possession
time
PPIMS 211, 212
predetermined intervals 233, 396
prescribed criteria 233, 396
pressure distribution 52
preventive maintenance 117, 231, 233,
234, 291, 347, 376, 396
pricing methods 329, 330, 332
primary suspension 59, 60, 61, 69, 70,
104, 108, 109
probability of occurrence 192, 193,
255, 259, 266
processes 37, 115, 116, 122, 209, 211,
212, 214, 226, 272, 287, 300, 329,
335, 355, 364, 365, 368
Publicly Available Specification number
55 224
pumping problems 136
Q
quality 30, 32, 176, 178, 179, 185, 188,
quasi-static loads 40
R
rail 65, 105, 106
rail break 125
rail condition 122
rail corrugation. see corrugation
rail creep 123
rail damage mechanism 115, 124
rail defects 122, 123
rail deflection 79, see deflection
rail degradation. see degradation
412
rail grinding. see grinding, see grinding
rail grinding cost 374
rail imperfections 46, 47, 118
rail joints 53, 89, 103, 105
rail lubrication cost 374
rail pad 55, 66, 73, 75, 76, 81, 86
rail pads 56, 66
rail renewal cost 375
rail running surface 39, 149
Rail Support Modulus 80
rail welds 154
railhead 100, 154
rails 2, 7-11, 14, 40-43, 49, 52-60, 65,
74, 75, 79, 83, 92, 99, 100, 105, 107,
111, 119-125, 129, 130, 140, 147,
154, 197, 207, 212, 247, 361, 370-
372, 385, 401
railway system 65
RAM programme 260, 396
RAMS 183, 236, 244, 239, 255, 256,
257, 259, 260, 262, 270-273, 275,
281, 291-293, 297, 299, 396, 399,
400, 404, 405
RAMS activities 276
RAMS analysis 236, 255-257, 260,
272, 277, 291, 404
RAMS elements 262
RAMS process 276
RAMS requirements 271, 276, 299
Rayleigh Timoshenko beam 65, 71
RCF 107, 121, 126, 127, 129, 130, 154,
212, 213
reliability 183, 223, 255, 256, 260-264,
273, 280, 294, 299, 302, 303, 386,
396, 403-405
renewal 32, 117, 151, 180-183, 185,
206, 207, 214, 219, 226, 230, 231,
240, 242, 243, 246, 247, 271, 291,
349, 351, 337, 361, 365, 369, 371,
373, 375, 376, 388, 396
resonance 59, 74-76, 92, 97, 100, 400
resource management 183
Richard Trevithick 13, 14, 220
riding quality 120, 311
rigid beams 68
risk 21, 59, 123, 129, 153, 189, 212,
213, 214, 224, 225, 226, 227, 238,
255, 257, 259, 260, 266, 267, 269,
270, 273, 284, 292, 300, 301, 320,
330, 332-334, 338, 343, 389, 390,
396
risk analysis 255, 267, 282, 343
Index
risk assessment 343
risk evaluation 269
risk management 224, 226, 343
rolling contact fatigue 121, 126, 128,
401
run to failure 222
Run to Failure Maintenance 231, 232
running behaviour 61, 107
running surface. see rail running surface
S
S&C. see switches and crossings
safety 112, 183, 188, 189, 202, 217,
249, 255, 257, 260, 261, 266, 269,
301, 396, 401, 402, 405
safety analysis 262, 301
secondary suspension 61
segmentation. see track segmentation
service contract 347
service life 131, 185, 201, 205-207,
237-240, 242, 260, 307-309, 359,
361, 362, 371
settlement 42, 82, 83, 85-87, 98, 100,
103, 115, 122, 133, 135, 138-141,
147, 150, 161
shear failure 134, 138, 139
shelf life 239
short piling 145
short wavelength 39, 89, 97, 99
short waves 100
side frame 61
skeletal grain 131, 132
sleeper renewal 376
sleeper renewal cost 376
sleeper resonances 100, 129
sleeper spacing 102
sleepers 10, 40, 42, 43, 49, 52, 55-57,
65, 66, 68, 70, 72-76, 79, 82, 84-86,
95, 100, 102, 105, 115, 119, 120,
122, 123, 131, 139, 141, 142, 147,
148, 151, 192, 215, 245, 247, 248,
370, 371, 372, 400, 402, 405
soft pads 129
soft substructure 152
soft track 115, 135-137, 160-162, 172
speed restrictions 32, 153, 182, 189,
195, 217, 242, 309, 376
spoon drains 159
spring 57, 61, 65, 66, 71, 75, 76, 79,
80, 89, 93, 140, 397
squats 127, 213
Index
stakeholders 24, 27, 28, 32, 227, 255,
334
standard deviation 187, 193, 195, 196,
197, 215
static loads 40
static wheel load 41, 43, 44, 193, 202
stiffness 53, 56, 59, 65, 66, 68, 69, 71,
72, 74, 77, 79, 80-89, 92, 93, 101,
102, 103, 105, 106, 108, 117, 134,
144, 149, 167, 192, 193, 194, 271,
385, 397, 401, 403, 405
stiffness ratio 77, 85
strategic objectives 226
stress free temperature 153, 154
structures 87, 151, 370
sub-ballast 53, 58, 65, 68, 70, 74, 122,
132, 136, 144, 147
sub-ballast 49, 57, 139
subgrade 42, 49, 51, 53, 57, 58, 65, 69,
70, 74, 76, 79, 83-85, 92, 103, 115,
119, 120, 122, 132, 134-141, 144,
145, 147, 148, 157, 158, 161, 162,
164, 245, 271, 301, 361, 403
substance 179
substitution 117
substructure 53, 69, 82-84, 103, 115-
117, 144, 151, 214, 217, 361, 403
subsurface drainage. see drainage
superelevation 40, 41, 51, 122
superstructure 52, 56, 69, 83, 84, 103,
195, 247, 307, 359, 360, 361
surface drainage. see drainage
surface irregularities 41, 43, 134
suspension 40, 46, 59, 61, 62, 69, 70,
85, 107, 109, 118, 119
switch 9, 102, 103, 105, 151, 153, 213,
214, 359, 372, 388
switches and crossings 151, 213, 248,
370
system 13, 17, 32, 37, 51-53, 55-59,
65, 66, 69-71, 75-78, 89, 92-97, 100,
107, 109, 121, 123, 127, 135, 162,
179, 181, 207, 211, 213, 224-229,
231, 232, 234, 238, 244, 247, 255-
257, 259-265, 267-277, 281, 296,
300, 301, 315, 338, 343, 353, 337,
359, 361, 369-373, 379, 383-386,
388-390, 393, 395, 396, 397, 400,
401, 403
system effectiveness 282
system life cycle 275, 276
system-effectiveness 273, 274, 282
413
T
tamping 120, 141, 144, 145, 147, 153,
197, 206, 214, 246, 271, 372, 374,
388
tangential forces 43, 111, 123, 129
technological life 239
tension clamp 67, 68
thermite welds 154
top drains 159
track 45-47, 52, 65, 69, 70, 76, 79, 80-
87, 94, 95, 98, 101, 103, 115-121,
136, 137, 147, 150-157, 165-167,
175, 176, 179, 186, 187, 195, 196,
203, 209, 213, 214, 219, 236, 238,
242-245, 248, 271, 291, 301, 338,
365, 373, 387, 389, 397-405
track bed 81, 87
track behaviour 35, 65, 120, 185, 188,
205, 209, 245
track characteristics 46
track components 49, 52, 53, 65, 71,
73, 83-86, 104, 116, 119, 131, 134,
186, 255, 271, 308, 362, 372
track condition 32, 87, 117, 194, 201,
209, 210, 211, 214, 293, 371
track construction 245, 307
track degradation 46, 83, 114
track devices 248
track downtime cost 376
track elasticity 70
track fault 95, 189
track forces 46, 59, 61, 402
track gauge 248
track geometry 214, 238, 248, 403
track geometry irregularities 39, 131
track inspection 374
track inspection cost 374
track maintenance 29, 57, 84, 120, 201,
242, 244, 245, 256, 291, 293, 294,
296, 307-310, 321, 322, 326, 337,
338, 341, 345, 381, 383
track model 72, 75, 76
track modulus 72, 79, 80, 86, 401
track performance. see performance
track possession time 291, 376
track quality 35, 95, 175, 176, 179,
185-187, 191, 192, 195, 205, 236,
242, 260, 326, 361, 366, 385
track quality behaviour 185, 191
track quality indices 244
track segment 245
414
track segmentation 201, 245, 246
track squeeze 134, 136
track structure 39, 40, 53, 58, 76, 79,
97, 101, 117, 136, 157, 161, 162, 202
track tamping cost 374
track vibration 73, 75, 400
track vibrations 97, 99
transition mechanics 85
transition points 85
transition zone 77, 83-86
trial and error 201
tribology 89, 95, 106, 107
twist 195, 196, 214
U weld quality 152-154
under sleeper pads 86
unsprung mass 61
unsprung masses 42, 43, 61, 405
unstable ground 144, 145, 151
unsupported sleeper 82
upgrading 231, 341
useful life 239
V 112, 118, 130, 385
values 81, 261, 288, 327
vehicle 40, 46, 69, 70, 77, 92, 108, 118,
150, 213, 215, 271, 387, 400, 401, 402
vehicle characteristics 46, 121, 291
vertical deflection. see deflection,
see deflection
vertical force limits 43
vertical loads 39
vertical track stiffness 84
vibration 55, 66, 73-76, 86, 87, 97, 98,
99, 120, 139, 217
vibrational forces 119
vibrations 37, 56, 59, 60, 69, 86, 89, 97,
98, 102, 104, 120, 123, 144, 373, 400
voids 85, 115, 141, 147, 213
Index
W
wagonway 5, 9
water 13, 57, 84, 116, 124, 135-137,
139, 140, 144, 145, 157-162,
164-174, 191, 220, 353, 361, 405
water penetration 145
wavelength 100, 195, 196
wear 11, 40, 61, 82, 89, 95, 96,
106-109, 111, 115, 116, 119,
120-122, 128-130, 147, 149,
151-153, 191, 194, 213, 214,
221, 239, 271, 301, 362, 365,
385, 400, 401, 403
wheel 41, 44, 50-52, 62, 89, 93, 99,
104, 106, 107, 118, 149, 150, 155,
215, 400, 401, 402
wheel flat 103, 104
wheel irregularities 95
wheel load 41, 72, 202
wheel out-of-roundness 89, 94, 95,
101
wheel profile 46, 49, 105, 107, 108,
wheel set 42, 43, 44, 61
wheel tread 39, 41, 89, 103, 105
wheel unloading 44
wheel/rail 40-42, 49, 69, -83, 89, 96,
111, 120, 122, 127, 144, 152
wheel-rail contact 51, 90, 106, 107,
111, 121, 123, 124
wheel-rail interface 107, 110, 400
whole life 239
whole life cost 305
Winkler 71, 81, 192
Y
Youngs modulus of elasticity 72
youth period 116, 189